Thomas W. Cassidy

COHEN & STEERS SECURITIES

New York, NY 10036

Some features on this profile are disabled

CRD#: 2909264

Professional summary

Thomas Walter Cassidy is a registered financial professional currently at COHEN & STEERS SECURITIES, LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2004. Thomas has worked at 10 firms and has passed the Series 99TO, SIE, Series 7, Series 14 and Series 24 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 Walter Cassidy'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

January 10, 2020 - Present

COHEN & STEERS SECURITIES, LLC

Office #1: 1166 Avenue Of The Americas 30th Floor, New York, NY 10036

CRD#: 29258

New York, NY

Past

December 22, 2017 - December 23, 2019

AMG DISTRIBUTORS, INC.

CRD#: 27314

STAMFORD, CT

Past

May 10, 2007 - November 30, 2017

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

December 1, 2005 - April 25, 2007

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

NEW YORK, NY

Past

July 7, 2005 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 14, 2004 - October 19, 2004

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

September 14, 2004 - October 19, 2004

MORGAN STANLEY DISTRIBUTORS INC.

CRD#: 30992

NEW YORK, NY

Past

September 14, 2004 - October 21, 2004

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

September 14, 2004 - October 21, 2004

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

June 25, 2004 - October 11, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam

Series 99TO

Date: 10/12/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/24/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 10/12/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 7/15/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

COHEN & STEERS SECURITIES, LLC

COHEN & STEERS SECURITIES, INC. | COHEN & STEERS SECURITIES, LLC

CRD#: 29258 / SEC#: , 8-44123

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1166 Avenue Of The Americas 30th Floor, New York, NY 10036

Mailing Address

1166 Avenue Of The Americas 30th Floor, New York, NY 10036

Phone number

(212) 832-3232

Established

Delaware since 11/13/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
COHEN & STEERS CAPITAL MANAGEMENT INC.	SHAREHOLDER	106266
DERECHIN, ADAM M	VICE PRESIDENT	2531374
MURPHY, STEPHEN THOMAS	CHIEF COMPLIANCE OFFICER	2340624
POLI, FRANCIS CASIMIR	PRESIDENT, DIRECTOR	1628917
TEUFEL, FREDERICK CHARLES	FINOP, PFO AND POO	2092408

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas W. Cassidy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Walter Cassidy's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMG DISTRIBUTORS, INC.

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

INVESCO CAPITAL MARKETS, INC.

MORGAN STANLEY DISTRIBUTORS INC.

MORGAN STANLEY DISTRIBUTION, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 99TO

Date: 10/12/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/24/2004

Series 14

Date: 10/12/2023

Series 24

Date: 7/15/2004

FINRA

Current Firm

COHEN & STEERS SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

COHEN & STEERS SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors