Thomas L. Eng
Professional summary
Thomas L Eng, who also goes by Thomas Eng, is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2009. Thomas has worked at 3 firms and has passed the SIE, Series 99 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas L Eng's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2019 - Present
SCOTIA CAPITAL (USA) INC.
Office #1: 250 Vesey Street, New York, NY 10281August 4, 2015 - April 30, 2018
EQUITABLE DISTRIBUTORS, LLC
April 13, 2015 - May 2, 2018
EQUITABLE ADVISORS, LLC
July 10, 2009 - February 1, 2010
EQUITABLE ADVISORS, LLC
January 16, 2009 - January 26, 2009
EQUITABLE DISTRIBUTORS, LLC
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
FINRA
Current Firm
SCOTIA CAPITAL (USA) INC.
CRD#: 2739 / SEC#: , 8-3716
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
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