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Thomas J. Montefinise

BLUE OWL SECURITIES
New York, NY 10152
Some features on this profile are disabled
CRD#: 5622773
TM

Professional summary

Thomas Joseph Montefinise, who also goes by Thomas J Montefinise, Thomas Joseph Montefinise, Tom Montefinise, is a registered financial professional currently at BLUE OWL SECURITIES located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2015. Thomas has worked at 4 firms and has passed the SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas J Montefinise | Thomas Joseph Montefinise | Tom Montefinise

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 Joseph Montefinise'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

January 13, 2025 - Present

BLUE OWL SECURITIES

Office #1: 375 Park Avenue, New York, NY 10152
BD
CRD#: 283250
New York, NY
Past

December 5, 2022 - January 6, 2025

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
New York, NY
Past

April 1, 2019 - November 29, 2022

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

June 18, 2015 - March 28, 2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/6/2023
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/3/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BO
BLUE OWL SECURITIES
BLUE OWL SECURITIES | OWL ROCK SECURITIES | OWL ROCK CAPITAL SECURITIES LLC | BLUE OWL SECURITIES LLC

CRD#: 283250 / SEC#: , 8-69744

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

Main Address
375 Park Avenue, New York, NY 10152
Mailing Address
375 Park Avenue 4th Floor, New York, NY 10152
Phone number
(212) 419-3000
Established
Delaware since 12/17/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 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#
BLUE OWL CAPITAL GROUP LLCSOLE MEMBER
AMATO, KERRI ANNCHIEF COMPLIANCE OFFICER4710835
CONNOR, SEAN RICHARDPRESIDENT AND CHIEF EXECUTIVE OFFICER6019182
DIRESTA, ANDREWFINOP7459031

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

BLUE OWL SECURITIES

CRD#: 283250New York, NY 10152

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