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TN

Thomas Nguyen

REVA CAPITAL MARKETS
New York, NY 10019
CRD#: 3092480
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TN
Thomas NguyenREVA CAPITAL MARKETS

Professional summary

Thomas Nguyen is a registered financial professional currently at REVA CAPITAL MARKETS LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 7 firms and has passed the Series 66, Series 57TO, Series 82TO, Series 7TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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 Nguyen's 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

February 19, 2026 - Present

REVA CAPITAL MARKETS LLC

Office #1: 3 Columbus Circle 15th Floor, New York, NY 10019
BD
CRD#: 105791
New York, NY
Past

January 31, 2023 - September 19, 2023

ROTH CAPITAL PARTNERS, LLC

BD
CRD#: 15407
STAMFORD, CT
Past

December 21, 2022 - January 31, 2023

MKM PARTNERS LLC

BD
CRD#: 114666
STAMFORD, CT
Past

September 21, 2015 - September 22, 2022

CICC US SECURITIES, INC.

BD
CRD#: 143221
NEW YORK, NY
Past

January 13, 2014 - July 31, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 26, 2004 - January 21, 2014

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

February 27, 2001 - April 7, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 21, 1998 - March 29, 1999

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

BD
CRD#: 36155
CHICAGO, IL

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

State Security Law Exam
RR
IAR
Series 66
Date: 10/7/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 11/21/2025
Securities Trader Exam
General Industry/Product Exam
RR
Series 82TO
Date: 11/21/2025
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 7TO
Date: 11/21/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/21/2015
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/18/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/21/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RC
REVA CAPITAL MARKETS LLC
NEWTEK SECURITIES, LLC | REVA CAPITAL MARKETS LLC

CRD#: 105791 / SEC#: , 8-52985

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

Main Address
3 Columbus Circle 15th Floor, New York, NY 10019
Mailing Address
3 Columbus Circle 16th Floor, New York, NY 10019
Phone number
(212) 464-7363
Established
New York since 02/22/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
REVA CAPITAL HOLDINGS, LLCMEMBER
GOODE, JACQUELINE MARIEFINOP, CCO1292607
NAIK, VAGEESHCEO4450126

Red Flags

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Company Information

REVA CAPITAL MARKETS LLC

CRD#: 105791New York, NY 10019

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