Thomas J. Hind

Some features on this profile are disabled

CRD#: 5162110

Professional summary

Thomas J Hind was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial advisor and started their career in finance in 2006. Prior to being barred, Thomas had worked at 5 firms, which includes BNY MELLON SECURITIES CORPORATION, J.P. MORGAN INSTITUTIONAL INVESTMENTS INC., ALLIANCEBERNSTEIN INVESTMENTS INC., COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS INC., EQUITABLE ADVISORS LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Hind

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

December 12, 2014 - April 7, 2015

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

NEW YORK, NY

Past

November 17, 2014 - April 7, 2015

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

July 16, 2013 - September 8, 2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

August 25, 2009 - July 16, 2013

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NEW YORK, NY

Past

August 1, 2007 - November 13, 2008

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

NEW YORK, NY

Past

January 30, 2007 - July 31, 2007

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

MELVILLE, NY

Past

August 9, 2006 - July 31, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

MELVILLE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION | THE DREYFUS SERVICE CORPORATION | MBSC SECURITIES CORPORATION | DREYFUS SERVICE CORPORATION

CRD#: 231 / SEC#: 801-54739, 8-13801

RIA

Registered Investment Advisory firm - SEC (7/24/1997 Approved)

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

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/11/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/19/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/7/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2006

General Securities Representative Examination

Current Firm

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION | THE DREYFUS SERVICE CORPORATION | MBSC SECURITIES CORPORATION | DREYFUS SERVICE CORPORATION

CRD#: 231 / SEC#: 801-54739, 8-13801

RIA

Registered Investment Advisory firm - SEC (7/24/1997 Approved)

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

240 Greenwich Street 9th Floor East, New York, NY 10286-0001

Mailing Address

240 Greenwich Street 9th Floor, New York, NY 10286

Phone number

(212) 922-6000

Established

New York since 01/15/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

306

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A APPENDIX 1 WRAP FEE BROCHURE (9/19/2025)

ADV PART 2A FIRM BROCHURE (9/19/2025)

Direct owners and executive officers

Name	Position	CRD#
BNY MELLON INVESTMENT ADVISER, INC.	DIRECT OWNER
BRADLE, KENNETH JAMES	PRESIDENT AND DIRECTOR	1827956
DIPETRILLO, DAVID JOHN	EXECUTIVE VICE PRESIDENT AND DIRECTOR	4904926
MARQUIT, HAL ROBERT	ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL	1530120
OSAVAGE, JACK EDWARD	CHIEF TECHNOLOGY OFFICER	8186430
PAPADOULIS, IRENE DESPINA	EXECTUVE VICE PRESIDENT AND DIRECTOR	733025
PASQUALE, GREGORY JOHN	CHIEF FINANCIAL OFFICER & TREASURER & FINOP	6562167
PIGOTT, JOSEPH E	CHIEF RISK OFFICER	6619448
ROBINSON, SCOTT JARED	CHIEF LEGAL OFFICER	5396859
SACCONE, ROBERT BRIAN	CHIEF COMPLIANCE OFFICER (BROKERDEALER)	1114349
SQUILLACE, JOHN	CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS)	5504616

Regulatory assets under management

Total Number of Accounts	3,823
AUM (Assets Under Management)	$ 7,139,421,698

Disclosures

Regulatory Event	5
Arbitration	8

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
08/28/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas J. Hind

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BNY MELLON SECURITIES CORPORATION

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

BNY MELLON SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2014

Series 63

Date: 9/19/2006

SIE

Date: 4/7/2015

Series 7

Date: 8/8/2006

Current Firm

BNY MELLON SECURITIES CORPORATION

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

BNY MELLON SECURITIES CORPORATION

TRUST BUT VERIFY

Similar Advisors