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TG

Tomas Gaona

BCP SECURITIES
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 4425171
TG

Professional summary

Tomas Gaona is a registered financial professional currently at BCP SECURITIES, INC. located in Greenwich, Connecticut.

Tomas is registered as a RR (Registered Representative) and started their career in finance in 2001. Tomas has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, 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 Tomas Gaona'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

July 28, 2021 - Present

BCP SECURITIES, INC.

Office #1: 289 Greenwich Avenue 4th, Greenwich, CT, 06830
BD
CRD#: 27063
Greenwich, CT
Past

January 27, 2022 - September 5, 2025

ROCKEFELLER FINANCIAL LLC

BD
CRD#: 291361
NEW YORK, NY
Past

November 23, 2009 - January 14, 2022

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

September 7, 2001 - November 24, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
Connecticut
(7/28/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/18/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/6/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/15/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BCP SECURITIES, INC.
BAER, CROSBY, PIKE INC. | BCP SECURITIES, LLC | BCP SECURITIES, INC. | BCP SECURITIES, INC | BCP INC.

CRD#: 27063 / SEC#: , 8-42836

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

Main Address
289 Greenwich Avenue - 4th Fl, Greenwich, CT 06830
Mailing Address
289 Greenwich Avenue - 4th Fl, Greenwich, CT 06830
Phone number
(203) 629-2181
Established
Delaware since 12/10/2021
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 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#
PIKE, RANDALL EMORYCHAIRMAN1926966
HOUSON, RICARDO CARLOSSHAREHOLDER2943538
LUQUE SUESCUN, JUAN CARLOSSHAREHOLDER2373875
OWENS, STEVEN CRAIGSHAREHOLDER2268295
SMITH, DAVID CHRISTOPHERSHAREHOLDER2749802
BAGORDA, FELICESHAREHOLDER/CEO5439644
BILAL, MUHAMMAD OMARSHAREHOLDER6272625
CLEVEN, PETER DAMIONCHIEF COMPLIANCE OFFICER6400894
DAELLENBACH, RENESHAREHOLDER2555076
DELLA CIOPPA, MAUROSHAREHOLDER4961537
DIAZ, NATALIE HELENSHAREHOLDER4691258
GARCIA, EDWIN ERNESTOSHAREHOLDER / FINOP4154949
GUTIERREZ, JAVIERSHAREHOLDER6482968
HARPER, JAMES VANCESHAREHOLDER4014076
HOUGH, BENJAMIN COLINSHAREHOLDER2396825
KHALITOV, BULATSHAREHOLDER6387636

Disclosures

Regulatory Event1

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

BCP SECURITIES, INC.

CRD#: 27063Greenwich, CT 06830

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