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Thomas W. Morris

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CRD#: 4988616
TM

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 William Morris, who also goes by Thomas William Morris, Thomas Morris, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2005. Thomas had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas William Morris | Thomas Morris

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 15, 2019 - June 14, 2022

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
New York, NY
Past

January 22, 2019 - October 10, 2019

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

August 9, 2017 - May 2, 2018

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

December 17, 2014 - July 6, 2017

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

August 6, 2013 - January 9, 2015

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 22, 2008 - May 20, 2013

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

September 1, 2005 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/6/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 5/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/15/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 12/1/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/31/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/3/2013
General Securities Principal Examination

Current Firm

TP
TULLETT PREBON FINANCIAL SERVICES LLC
COWEN GOVERNMENT BROKERS, L.P. | TULLETT PREBON FINANCIAL SERVICES LLC | TULLETT LIBERTY SECURITIES LLC | TULLETT LIBERTY SECURITIES INC. | TULLETT & TOKYO LIBERTY SECURITIES INC. | PATRIOT SECURITIES, L.P. | PATRIOT SECURITIES, INC. | LIBERTY PATRIOT SECURITIES INC. | LIBERTY BROKERAGE SECURITIES INC.

CRD#: 28196 / SEC#: , 8-43487

BD
Terminated by SEC on 09/09/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/30/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TP ICAP AMERICAS HOLDINGS INC.100% OWNER
BERNARDO, SHAWN FRANCISCEO2513376
DESIMONE, LISA MARIECHIEF COMPLIANCE OFFICER2691368
GOULET, STEPHEN PAULSENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY4769810
PEZEU, CHRISTIAN JEAN MICHELPRINCIPAL FINANCIAL OFFICER5661987

Disclosures

Regulatory Event17

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

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

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