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TM

Thomas Masterson

MAREX CAPITAL MARKETS
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 2344429
TM

Professional summary

Thomas Masterson, who also goes by Thomas Masterson III, Tommy Masterson III, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Dallas, Texas.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Masterson Iii | Tommy Masterson 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Masterson's CRS (Customer Relationship Summary).
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

December 1, 2023 - Present

MAREX CAPITAL MARKETS INC.

Office #1: 200 Crescent Court Suite 570,, Dallas, TX 75201
BD
CRD#: 161014
Dallas, TX
Past

August 16, 2021 - December 12, 2023

COWEN AND COMPANY

BD
CRD#: 7616
DALLAS, TX
Past

May 20, 2019 - February 10, 2022

COWEN PRIME SERVICES LLC

BD
CRD#: 153397
DALLAS, TX
Past

January 27, 2016 - May 16, 2019

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
SAN FRANCISCO, CA
Past

April 14, 2011 - November 9, 2017

WELLS FARGO PRIME SERVICES, LLC

BD
CRD#: 133068
SAN FRANCISCO, CA
Past

April 4, 2006 - April 12, 2011

UBS SECURITIES LLC

BD
CRD#: 7654
DALLAS, TX
Past

May 16, 2002 - February 25, 2006

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

February 27, 1997 - March 27, 2002

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

February 22, 1996 - February 20, 1997

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(12/1/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/26/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/22/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/2/1996
General Securities Representative Examination
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

MC
MAREX CAPITAL MARKETS INC.
E D & F MAN CAPITAL MARKETS INC. | MPS | MAREX CAPITAL MARKETS INC.

CRD#: 161014 / SEC#: , 8-69039

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
140 East 45th Street 10th Floor, New York, NY 10017
Mailing Address
140 East 45th Street 10th Floor, New York, NY 10017
Phone number
(212) 618-2800
Established
New York since 01/10/1952
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MAREX SERVICES INC.DIRECT OWNER
BATES, CHRISTOPHERFINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR5648556
BERNICKY, JENNIFER KAISERCHIEF OPERATING OFFICER, DIRECTOR4781625
CHERRY, ELIN LYNNECHIEF COMPLIANCE OFFICER2430837
FALCO, CARMINE DOMENICOPRINCIPAL OPERATIONS OFFICER2782798
HOOD, STEPHEN MICHAELDIRECTOR3139127
VITTAL, MAHESH RAMPRES. & CEO, DIRECTOR4593014

Disclosures

Regulatory Event42

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.

Company Information

MAREX CAPITAL MARKETS INC.

CRD#: 161014Dallas, TX 75201

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