Thomas L. Roh
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 Louis Roh was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2003. Thomas had worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - September 11, 2025
BTIG, LLC
April 27, 2022 - June 16, 2023
ODEON CAPITAL GROUP LLC
September 14, 2021 - February 2, 2022
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
January 28, 2020 - July 22, 2021
BROWNSTONE INVESTMENT GROUP, LLC
January 4, 2016 - November 19, 2018
CV BROKERAGE, INC
October 8, 2009 - May 15, 2014
STORMHARBOUR SECURITIES LP
July 15, 2003 - November 9, 2007
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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