Thomas Spicer
Professional summary
Thomas Spicer, who also goes by Tom Spicer, is a registered financial professional currently at BARCLAYS CAPITAL INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 15 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Spicer's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2023 - Present
BARCLAYS CAPITAL INC.
Office #1: 745 7th Avenue, New York, NY 10019March 28, 2017 - January 31, 2023
PRUCO SECURITIES, LLC.
October 13, 2014 - August 29, 2016
WEDBUSH SECURITIES INC.
July 16, 2014 - August 29, 2016
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
September 21, 2010 - September 6, 2013
WALNUT STREET SECURITIES, INC.
September 21, 2010 - September 6, 2013
TOWER SQUARE SECURITIES, INC.
September 21, 2010 - July 7, 2014
NEW ENGLAND SECURITIES
September 21, 2010 - July 7, 2014
MSI FINANCIAL SERVICES, INC.
April 1, 2009 - September 10, 2010
UBS FINANCIAL SERVICES INC.
April 5, 2007 - September 30, 2008
PERSHING ADVISOR SOLUTIONS LLC
August 9, 2005 - March 29, 2007
TOWER SQUARE SECURITIES, INC.
July 1, 2005 - August 5, 2005
TOWER SQUARE SECURITIES, INC.
September 16, 2004 - March 29, 2007
WALNUT STREET SECURITIES, INC.
September 16, 2004 - March 29, 2007
NEW ENGLAND SECURITIES
September 16, 2004 - March 29, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 16, 2004 - March 29, 2007
MSI FINANCIAL SERVICES, INC.
June 9, 1999 - August 2, 2004
INVESTEX SECURITIES GROUP, INC.
June 12, 1998 - May 24, 1999
TRADE-WELL DISCOUNT INVESTING, LLC.
December 2, 1997 - December 11, 1997
CAPITAL PLANNING ASSOCIATES, INC.
July 22, 1997 - December 1, 1997
WALSH MANNING SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/31/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/20/2006
Limited Representative-Equity Trader ExamBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
Red Flags
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.
