Thomas J. Siek
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 Julian Siek, who also goes by Thomas Julian Siek Mr., was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2008. Thomas had worked at 2 firms and has passed the Series 63, 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
September 28, 2017 - October 14, 2025
WESTPAC CAPITAL MARKETS LLC
September 12, 2008 - September 14, 2010
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
Exams
Current Firm
WESTPAC CAPITAL MARKETS LLC
CRD#: 164763 / SEC#: , 8-69113
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTPAC CAPITAL MARKETS HOLDING CORPORATION | MEMBER | |
| BROWN, STUART JOHN | BOARD MEMBER | 7382811 |
| GLYNN, MICHAEL GERARD | CHIEF FINANCIAL OFFICER | 3219445 |
| GORMAN, DENNIS | ELECTED MEMBER | 6089133 |
| LOGAN-POWELL, JACQUELINE KATE | ELECTED MEMBER | 7847135 |
| MASOR, JEFFREY LAWRENCE | AML OFFICER | 6500490 |
| PORTES, SUSAN LIFSEY | CHIEF COMPLIANCE OFFICER | 1925615 |
| VAN DER GRIEND, MARK | CEO, ELECTED MEMBER | 2319152 |
Red Flags
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