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TI

Thomas L. Irwin

HIGHTOWER SECURITIES
New York City, NY 10017
Some features on this profile are disabled
CRD#: 4443238
TI

Professional summary

Thomas Liam Irwin is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in New York City, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 10 firms and has passed the Series 65, Series 66, SIE, Series 3, Series 7, Series 10 and Series 9 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 Thomas Liam Irwin'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

November 12, 2025 - Present

HIGHTOWER SECURITIES, LLC

Office #1: 300 Madison Avenue 29th Floor, New York City, NY 10017
BD
CRD#: 116681
New York City, NY
Past

February 12, 2025 - November 18, 2025

LPL ENTERPRISE, LLC

BD
CRD#: 8733
NEW YORK, NY
Past

May 1, 2023 - May 25, 2023

REVERE WEALTH MANAGEMENT LLC

RIA
CRD#: 170560
NEW YORK, NY
Past

October 19, 2021 - May 25, 2023

REVERE SECURITIES LLC

BD
CRD#: 14178
NEW YORK, NY
Past

March 31, 2021 - March 28, 2022

KKM FINANCIAL LLC

RIA
CRD#: 165136
CHICAGO, IL
Past

March 8, 2021 - November 5, 2021

BROAD STREET CAPITAL MARKETS, LLC

BD
CRD#: 104026
HOLMDEL, NJ
Past

July 22, 2005 - April 17, 2019

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

June 4, 2002 - July 26, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
WASHINGTON, DC
Past

February 5, 2002 - July 26, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 9, 2001 - January 2, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

October 9, 2001 - January 2, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
New York
(11/13/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/20/2026
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/26/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/19/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/2/2005
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/13/2005
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC

CRD#: 116681 / SEC#: , 8-53560

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

Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 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#
HIGHTOWER HOLDING, LLCPARENT COMPANY
BESSO, DOUGLAS JOSEPHCTO1530829
COVIELLO, BARRY ANTHONYEXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION1813688
GRAY, KENDRACHIEF COMPLIANCE OFFICER4388082
GRAY, KENDRAMUNICIPAL PRINCIPAL4388082
KARL, MATTHEW JAMESPRINCIPAL FINANCIAL OFFICER (PFO) & FINOP5361093
SMITH, SCOTT DAVIDCHIEF EXECUTIVE OFFICER2523535

Disclosures

Regulatory Event5
Arbitration1

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

HIGHTOWER SECURITIES, LLC

CRD#: 116681New York City, NY 10017

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