Thomas P. Rorke
Professional summary
Thomas Paul Rorke is a registered financial professional currently at LIFESCI CAPITAL located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Paul Rorke's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 15, 2015 - Present
LIFESCI CAPITAL
Office #1: 1700 Broadway 40th Floor, New York, NY 10019September 4, 2012 - January 20, 2015
BREAN CAPITAL, LLC
December 2, 2011 - September 4, 2012
CARIS & COMPANY, INC.
June 11, 1997 - September 6, 2011
CREDIT SUISSE SECURITIES (USA) LLC
January 31, 1995 - May 28, 1997
SCHRODER & CO. 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
(12/15/2015)
(12/15/2015)
(12/15/2015)
(4/2/2019)
(12/15/2015)
(12/15/2015)
(12/15/2015)
(12/15/2015)
(12/15/2015)
(12/15/2015)
Exams
Series 79TO
Date: 2/15/2022
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
LIFESCI CAPITAL
CRD#: 168404 / SEC#: , 8-69305
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCDONALD, ANDREW IAN | CHIEF EXECUTIVE OFFICER & OWNER | 4853168 |
| RICE, MICHAEL YEHUDA | PRESIDENT & OWNER | 1551556 |
| BENDER, STEVEN CHRISTOPHER | CFO/ FINOP | 2650187 |
| EVERTTS, ADAM GERALD | DOR - DIRECTOR OF RESERACH | 6240428 |
| KARMIOL, MICHAEL BRETT | HEAD OF CAPITAL MARKETS | 4264477 |
| VISCO, GLENN | CHIEF COMPLIANCE OFFICER | 2407619 |
Disclosures
| Regulatory Event | 1 |
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