Thomas Beattie
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Beattie, who also goes by Thomas L Beattie, Thomas Leo Beattie, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 9 firms and has passed the Series 63, Series 66, Series 99TO, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2021 - November 19, 2024
ROBINHOOD FINANCIAL, LLC
April 1, 2019 - October 8, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 18, 2019 - October 8, 2020
RAYMOND JAMES & ASSOCIATES, INC.
November 26, 2013 - January 2, 2019
CITIGROUP GLOBAL MARKETS INC.
October 4, 2012 - October 31, 2013
SPIRE SECURITIES, LLC
April 16, 2012 - May 16, 2012
PINNACLE CAPITAL MARKETS, LLC
August 25, 2010 - April 2, 2012
STANCHART SECURITIES INTERNATIONAL, INC.
October 15, 2009 - October 30, 2009
HORNOR, TOWNSEND & KENT, LLC
October 13, 2009 - October 30, 2009
HORNOR, TOWNSEND & KENT, LLC
November 21, 2003 - September 4, 2009
EQUITABLE ADVISORS, LLC
June 8, 2000 - September 4, 2009
EQUITABLE ADVISORS, 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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.
