Thomas J. Decoene
Professional summary
Thomas John Decoene is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas John Decoene's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 12, 2011 - Present
SHELTER ROCK CAPITAL GROUP LLC
Office #1: 10 East 53rd, Suite 1200, New York, NY 10022November 19, 2010 - November 21, 2011
INDEPENDENT BROKERAGE SOLUTIONS LLC
May 11, 2005 - September 21, 2010
ITAU BBA USA SECURITIES, INC.
May 22, 1998 - July 12, 2000
GE CAPITAL MARKETS, INC.
October 5, 1995 - December 23, 1997
LTCB LATIN AMERICA, 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
(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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SHELTER ROCK CAPITAL GROUP LLC
CRD#: 156753 / SEC#: , 8-68818
Contact information
FINRA licenses (47 States and Territories)
Red Flags
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