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TH

Thomas C. Harding

J.C. FLOWERS SECURITIES CO. LLC
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 5344536
TH

Professional summary

Thomas Cardwell Harding, who also goes by Tom Cardwell Harding, is a registered financial professional currently at J.C. FLOWERS SECURITIES CO. LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2008. Thomas has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Cardwell Harding

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 Cardwell Harding's 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

June 2, 2015 - Present

J.C. FLOWERS SECURITIES CO. LLC

Office #1: 1301 Avenue Of The Americas 16th Floor, New York, NY, 10019
BD
CRD#: 168757
NEW YORK, NY
Past

October 20, 2008 - March 2, 2015

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
New York
(6/2/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 10/8/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JF
J.C. FLOWERS SECURITIES CO. LLC
J.C. FLOWERS SECURITIES CO. LLC

CRD#: 168757 / SEC#: , 8-69325

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

Main Address
1301 Avenue Of The Americas 16th Floor, New York, NY, 10019
Mailing Address
1301 Avenue Of The Americas 16th Floor, New York, NY, 10019
Phone number
(212) 404-6800
Established
Delaware since 06/20/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FLOWERS, JAMES CHRISTOPHERCEO1050979
ARORA, VRINDAFINOP7784034
ROCKER, SALLY ANNCHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL5286094

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

J.C. FLOWERS SECURITIES CO. LLC

CRD#: 168757New York, NY 10019

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