Thomas John Decoene
Professional Summary
Thomas John Decoene is a registered financial advisor currently at SHELTER ROCK CAPITAL GROUP LLC 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 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 3, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
GLOBAL CAPITAL ACCESS LLC | SHELTER ROCK CAPITAL GROUP LLC | SHELTER ROCK CAPITAL ADVISORS LLC
Contact Information
Main Address
10 East 53rd, Suite 1200, New York, NY 10022Mailing Address
10 East 53rd, Suite 1200, New York, NY 10022Phone Number
(646) 768-2058Established
Delaware since 04/12/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (47 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(11/2/2016)
(10/26/2016)
(10/18/2016)
(11/2/2016)
(10/14/2011)
(10/28/2016)
(10/24/2016)
(11/7/2016)
(4/1/2019)
(10/19/2016)
(10/19/2016)
(11/9/2016)
(11/18/2016)
(10/18/2011)
(11/16/2016)
(10/26/2016)
(10/18/2016)
(11/8/2016)
(10/28/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas John Decoene's CRS (Customer Relationship Summary).
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