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TR

Thomas W. Rowland

BLUE OWL SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4413694
TR

Professional summary

Thomas William Rowland, who also goes by Thomas Rowland, Tom Rowland, is a registered financial professional currently at BLUE OWL SECURITIES located in Chicago, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2003. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Rowland | Tom Rowland

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 William Rowland's CRS (Customer Relationship Summary).
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

October 7, 2024 - Present

BLUE OWL SECURITIES

Office #1: 150 N Riverside, Chicago, IL 60606
BD
CRD#: 283250
Chicago, IL
Past

November 8, 2006 - October 14, 2022

GRV SECURITIES LLC

BD
CRD#: 138348
CHICAGO, IL
Past

January 9, 2004 - April 8, 2004

ARAGON INVESTMENTS, LTD.

BD
CRD#: 37134
CHICAGO, IL
Past

April 24, 2003 - August 3, 2006

CITADEL TRADING GROUP L.L.C.

BD
CRD#: 24514
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(10/7/2024)
RR
Alaska
(10/7/2024)
RR
Arizona
(10/7/2024)
RR
Arkansas
(10/7/2024)
RR
California
(10/7/2024)
RR
Colorado
(10/7/2024)
RR
Connecticut
(10/7/2024)
RR
Delaware
(10/7/2024)
RR
District of Columbia
(10/7/2024)
RR
Florida
(10/7/2024)
RR
Georgia
(10/7/2024)
RR
Hawaii
(10/7/2024)
RR
Idaho
(10/7/2024)
RR
Illinois
(10/7/2024)
RR
Indiana
(10/7/2024)
RR
Iowa
(10/7/2024)
RR
Kansas
(10/7/2024)
RR
Kentucky
(10/7/2024)
RR
Louisiana
(10/7/2024)
RR
Maine
(10/7/2024)
RR
Maryland
(10/7/2024)
RR
Massachusetts
(10/7/2024)
RR
Michigan
(10/7/2024)
RR
Minnesota
(10/7/2024)
RR
Mississippi
(10/7/2024)
RR
Missouri
(10/7/2024)
RR
Montana
(10/7/2024)
RR
Nebraska
(10/7/2024)
RR
Nevada
(10/7/2024)
RR
New Hampshire
(10/7/2024)
RR
New Jersey
(10/7/2024)
RR
New Mexico
(10/7/2024)
RR
New York
(10/7/2024)
RR
North Carolina
(10/7/2024)
RR
North Dakota
(10/7/2024)
RR
Ohio
(10/7/2024)
RR
Oklahoma
(10/7/2024)
RR
Oregon
(10/7/2024)
RR
Pennsylvania
(10/7/2024)
RR
Puerto Rico
(10/7/2024)
RR
Rhode Island
(10/7/2024)
RR
South Carolina
(10/7/2024)
RR
South Dakota
(10/7/2024)
RR
Tennessee
(10/7/2024)
RR
Texas
(10/7/2024)
RR
Utah
(10/7/2024)
RR
Vermont
(10/7/2024)
RR
Virginia
(10/7/2024)
RR
Washington
(10/7/2024)
RR
West Virginia
(10/7/2024)
RR
Wisconsin
(10/7/2024)
RR
Wyoming
(10/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/15/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/25/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/22/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BO
BLUE OWL SECURITIES
BLUE OWL SECURITIES | OWL ROCK SECURITIES | OWL ROCK CAPITAL SECURITIES LLC | BLUE OWL SECURITIES LLC

CRD#: 283250 / SEC#: , 8-69744

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

Main Address
375 Park Avenue, New York, NY 10152
Mailing Address
375 Park Avenue 4th Floor, New York, NY 10152
Phone number
(212) 419-3000
Established
Delaware since 12/17/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BLUE OWL CAPITAL GROUP LLCSOLE MEMBER
AMATO, KERRI ANNCHIEF COMPLIANCE OFFICER4710835
CONNOR, SEAN RICHARDPRESIDENT AND CHIEF EXECUTIVE OFFICER6019182
DIRESTA, ANDREWFINOP7459031

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.

Company Information

BLUE OWL SECURITIES

CRD#: 283250Chicago, IL 60606

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