Thomas M. Brown
Professional summary
Thomas M Brown, who also goes by Thomas Brown, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas M Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 2, 2011 - Present
J. STREICHER & CO. L.L.C.
Office #1: 28 Liberty Street 6th Floor, New York, NY 10005December 4, 2008 - April 18, 2011
COHEN CAPITAL GROUP, LLC
November 21, 2001 - December 1, 2008
KELLOGG CAPITAL MARKETS, LLC
October 1, 2000 - November 3, 2000
PHOENIX PARTNERS, L.L.C.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 21
Date: 8/24/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 3/17/1999
NYSE Trading Assistant ExaminationSeries 14A
Date: 3/24/2016
Compliance Official Specialist ExamFINRA
NYSE American LLC
New York Stock Exchange
Current Firm
J. STREICHER & CO. L.L.C.
CRD#: 3526 / SEC#: , 8-4342
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
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