Thomas S. Ororke

GALLATIN CAPITAL LLC

New York, NY 10022

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CRD#: 2834711

Professional summary

Thomas Smithson Ororke JR. is a registered financial professional currently at GALLATIN CAPITAL LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 3 and Series 7 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 Smithson Ororke JR.'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

August 30, 2024 - Present

GALLATIN CAPITAL LLC

Office #1: 444 Madison Avenue 29th Floor, New York, NY 10022

CRD#: 124738

New York, NY

Past

July 2, 2024 - August 29, 2024

LEONIS SECURITIES, LLC

CRD#: 284307

New York, NY

Past

March 29, 2018 - June 28, 2024

GALLATIN CAPITAL LLC

CRD#: 124738

NEW YORK, NY

Past

February 11, 2004 - December 19, 2017

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

October 27, 1999 - February 6, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

Alabama
(8/30/2024)

California
(4/7/2025)

Florida
(8/30/2024)

Georgia
(1/27/2025)

Illinois
(8/30/2024)

Louisiana
(8/30/2024)

Massachusetts
(1/28/2025)

New Jersey
(8/30/2024)

New York
(8/30/2024)

Pennsylvania
(10/18/2024)

Tennessee
(8/30/2024)

Texas
(8/30/2024)

Washington
(10/18/2024)

Exams

State Security Law Exam

Series 63

Date: 10/19/1999

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/2/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/14/2000

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/26/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GALLATIN CAPITAL LLC

GALLATIN CAPITAL LLC | THE SAGAMORE GROUP, LLC

CRD#: 124738 / SEC#: , 8-65718

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

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Contact information

Main Address

444 Madison Avenue 29th Floor, New York, NY 10022

Mailing Address

444 Madison Avenue 29th Floor, New York, NY 10022

Phone number

(212) 891-7980

Established

New York since 12/04/2002

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BUSCEMI, ANTHONY RICHARD	MEMBER	3156872
TAMIS, JENNIFER KELLEHER	PASSIVE OWNER	4461249
YOUNGBLOOD, JOHN LAWRENCE	MAN PRIN AND CHIEF COMPLIANCE OFFICER	1335335
ADEN, DANA	FINOP	2780889

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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Firm Stability Insights

Thomas S. Ororke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Smithson Ororke JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

LEONIS SECURITIES, LLC

GALLATIN CAPITAL LLC

DEUTSCHE BANK SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 10/19/1999

Series 65

Date: 12/2/1996

SIE

Date: 10/1/2018

Series 3

Date: 6/14/2000

Series 7

Date: 10/26/1999

FINRA

Current Firm

GALLATIN CAPITAL LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GALLATIN CAPITAL LLC

TRUST BUT VERIFY

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