Thomas W. Needham
Professional summary
Thomas William Needham, who also goes by Tom Needham, is a registered financial professional currently at LOCORR DISTRIBUTORS, LLC located in Excelsior, Minnesota.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 8 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas William Needham's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 12, 2018 - Present
LOCORR DISTRIBUTORS, LLC
Office #1: 687 Excelsior Blvd, Excelsior, MN 55331July 15, 2015 - June 27, 2018
TRILOMA SECURITIES, LLC
March 10, 2010 - June 17, 2015
CNL SECURITIES CORP.
September 25, 2009 - March 8, 2010
STIRA CAPITAL MARKETS GROUP, LLC
November 27, 2007 - June 9, 2009
HINES PRIVATE WEALTH SOLUTIONS LLC
February 4, 2003 - November 16, 2007
CAPITAL BROKERAGE CORPORATION
January 2, 2001 - June 13, 2002
UBS FINANCIAL SERVICES INC.
December 15, 2000 - June 13, 2002
UBS FINANCIAL SERVICES INC.
June 17, 1994 - December 19, 2000
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/12/2018)
(7/12/2018)
Exams
FINRA
Current Firm
LOCORR DISTRIBUTORS, LLC
CRD#: 41782 / SEC#: , 8-49568
Contact information
FINRA licenses (13 States and Territories)
Documents
Red Flags
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