Thomas P. Kaczan

TRADEUP SECURITIES

Roseland, NJ 07068

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CRD#: 2413283

Professional summary

Thomas Peter Kaczan is a registered financial professional currently at TRADEUP SECURITIES, INC. located in Roseland, New Jersey.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2004. Thomas has worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Peter Kaczan'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

July 5, 2022 - Present

TRADEUP SECURITIES, INC.

Office #1: 101 Eisenhower Parkway, Roseland, NJ 07068Office #2: 437 Madison Ave 27th Floor, New York, NY 10022

CRD#: 18483

Roseland, NJ

Past

March 10, 2020 - August 2, 2022

VELOCITY CAPITAL, LLC

CRD#: 171810

NEW YORK, NY

Past

November 12, 2019 - August 2, 2022

VELOCITY CLEARING, LLC

CRD#: 126588

New York, NY

Past

August 16, 2018 - February 14, 2020

MOMENTIX CAPITAL, INC.

CRD#: 20130

Massapequa, NY

Past

June 20, 2017 - February 15, 2018

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

CHESHIRE, CT

Past

April 24, 2017 - February 15, 2018

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CHESHIRE, CT

Past

April 4, 2008 - September 9, 2016

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

September 14, 2004 - February 29, 2008

ABBEY NATIONAL SECURITIES INC.

CRD#: 112219

STAMFORD, CT

State Registrations and Notice Filings

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

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

New Jersey
(7/5/2022)

New York
(7/5/2022)

Exams

State Security Law Exam

IAR

Series 65

Date: 6/9/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/19/2011

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 1/23/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/13/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/7/2005

General Securities Principal Examination

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

New York Stock Exchange

Current Firm

TRADEUP SECURITIES, INC.

MARSCO INVESTMENT CORPORATION | TRADEUP SECURITIES, INC.

CRD#: 18483 / SEC#: , 8-36754

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

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Contact information

Main Address

437 Madison Ave 27th Floor, New York, NY 10022

Mailing Address

437 Madison Ave 27th Floor, New York, NY 10022

Phone number

(973) 228-2886

Established

New Jersey since 09/03/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TIGER FINTECH HOLDINGS INC.	DOMESTIC ENTITY
HUANG, LEI	BOARD OF DIRECTOR	5248191
HUANG, LEI	CEO	5248191
LIANG, CE	HEAD OF FINANCE/ PFO	7554601
LIU, YOUQING	FINOP/POO/CFO	5893930
LUPO, VINCENT JR.	CHIEF OPERATIONS OFFICER	1478037
YE, GUANWU	CCO	5985247

Disclosures

Regulatory Event

Red Flags

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

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Advisor Monitoring

Firm Stability Insights

Thomas P. Kaczan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

VELOCITY CAPITAL, LLC

VELOCITY CLEARING, LLC

MOMENTIX CAPITAL, INC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

SG AMERICAS SECURITIES, LLC

ABBEY NATIONAL SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/9/2017

Series 63

Date: 11/9/2004

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/19/2011

Series 3

Date: 1/23/2006

Series 7

Date: 9/13/2004

Series 24

Date: 7/7/2005

Cboe EDGX Exchange, Inc.

FINRA

NYSE American LLC

NYSE Arca, Inc.

New York Stock Exchange

Current Firm

TRADEUP SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TRADEUP SECURITIES, INC.

TRUST BUT VERIFY

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