Thomas M Brown
Professional Summary
Thomas M Brown, who also goes by Thomas Brown, is a registered financial advisor currently at J. STREICHER & CO. L.L.C. located in New York, New York. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 4 firms and has passed the Series 99TO, SIE, Series 7, Series 21, Series 25, Series 14, Series 14A 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
Thomas Brown
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Videos & Posts
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Contact Information
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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.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
J. STREICHER & CO. | J. STREICHER & CO. L.L.C.
Contact Information
Main Address
200 Vesey Street 24th Floor, New York, NY 10281Mailing Address
200 Vesey Street 24th Floor, New York, NY 10281Phone Number
(212) 306-6202Established
New York since 01/01/1910Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 21 — NYSE Front Line Specialist Clerk
Passed Aug 2000Series 25 — NYSE Trading Assistant Examination
Passed Mar 1999Series 14A — Compliance Official Specialist Exam
Passed Mar 2016SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas M Brown's CRS (Customer Relationship Summary).
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