Thomas B. Ryan
Professional summary
Thomas Briton Ryan JR, who also goes by Briton Ryan, Thomas Briton Ryan, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Charlotte, North Carolina.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Briton Ryan JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2016 - Present
NUVEEN SECURITIES, LLC
Office #1: 8500 Andrew Carnegie Blvd., Charlotte, NC 28262March 24, 2015 - March 7, 2016
FORESIDE FUND SERVICES, LLC
June 19, 2014 - October 1, 2014
FORESIDE FUND SERVICES, LLC
October 17, 2012 - April 22, 2014
MIZUHO SECURITIES USA LLC
September 9, 2009 - September 27, 2012
NEWEDGE USA, LLC
May 13, 2008 - August 13, 2009
MACQUARIE CAPITAL (USA) INC.
July 21, 2003 - May 7, 2008
MORGAN STANLEY & CO. LLC
September 4, 2001 - May 8, 2003
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 55
Date: 2/28/2006
Limited Representative-Equity Trader ExamFINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
