Thomas E. Greene

LIBERTY STREET CAPITAL

ATHENS, GA

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CRD#: 229049

Professional summary

Thomas Edgar Greene III, who also goes by Tom E Greene, Tom Edgar Greene III, Thomas E Greene III, is a registered financial advisor currently at LIBERTY STREET CAPITAL, LLC located in Athens, Georgia.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. Thomas has worked at 7 firms and has passed the Series 63, Series 65, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom E Greene | Tom Edgar Greene Iii | Thomas E Greene Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

PROVIDENT RESOURCES GROUP; BATON ROUGE, LA; DIRECTOR; MANAGEMENT OVERSIGHT; HEALTH CARE, HOUSING AND LESSENING THE BURDENS OF GOVT; 1-2 HOURS PER MONTH OUTSIDE NORMAL OFFICE HOURS; ONE HOUR PER MONTH DURING NORMAL OFFICE HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Edgar Greene III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 12, 2015 - Present

LIBERTY STREET CAPITAL, LLC

RIA

CRD#: 126047

ATHENS, GA

Past

January 9, 2012 - December 31, 2014

LIBERTY STREET CAPITAL, LLC

RIA

CRD#: 126047

ATHENS, GA

Past

January 26, 2010 - December 12, 2011

MORGAN STANLEY

RIA

CRD#: 149777

ATHENS, GA

Past

January 21, 2010 - December 12, 2011

MORGAN STANLEY

CRD#: 149777

ATHENS, GA

Past

September 9, 2009 - January 21, 2010

DEMPSEY LORD SMITH, LLC

RIA

CRD#: 141238

ATHENS, GA

Past

September 9, 2009 - January 21, 2010

DEMPSEY LORD SMITH, LLC

CRD#: 141238

ROME, GA

Past

May 24, 2006 - December 31, 2009

LIBERTY STREET CAPITAL, LLC

RIA

CRD#: 126047

ATHENS, GA

Past

February 28, 1994 - February 14, 1995

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

December 28, 1982 - December 5, 1989

LIBERTY STREET SECURITIES CORPORATION

CRD#: 10923

Past

August 10, 1978 - November 1, 1980

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

July 2, 1973 - January 27, 1978

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(2/25/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/8/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/21/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 9/8/2009

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 6/23/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/11/1982

General Securities Principal Examination

Current Firm

LIBERTY STREET CAPITAL, LLC

LIBERTY STREET ASSET MANAGEMENT | LIBERTY STREET INVESTMENT MANAGEMENT, LLC | LIBERTY STREET CAPITAL, LLC | LIBERTY STREET ASSET MANAGEMENT, LLC

CRD#: 126047 / SEC#:

Georgia

Registered Investment Advisory firm - (2/25/2015 Approved)

Texas

Registered Investment Advisory firm - (11/23/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Athens, GA

Mailing Address

Phone number

(706) 207-0401

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 1,043,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Thomas E. Greene

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Edgar Greene III's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIBERTY STREET CAPITAL, LLC

MORGAN STANLEY

MORGAN STANLEY

DEMPSEY LORD SMITH, LLC

DEMPSEY LORD SMITH, LLC

LIBERTY STREET CAPITAL, LLC

GOLDMAN SACHS & CO. LLC

LIBERTY STREET SECURITIES CORPORATION

LEHMAN BROTHERS KUHN LOEB INCORPORATED

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 2/8/2010

Series 65

Date: 1/21/2002

Series 7

Date: 9/8/2009

Series 1

Date: 6/23/1973

Series 24

Date: 10/11/1982

Current Firm

LIBERTY STREET CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LIBERTY STREET CAPITAL, LLC

TRUST BUT VERIFY

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