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TB

Thomas K. Brady

TJM INVESTMENTS
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 6063874
TB

Professional summary

Thomas Kevin Brady, who also goes by Kevin Brady, is a registered financial professional currently at TJM INVESTMENTS, LLC located in Chicago, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2012. Thomas has worked at 7 firms and has passed the Series 57TO, SIE and Series 56 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin Brady

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 Kevin Brady'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 25, 2020 - Present

TJM INVESTMENTS, LLC

Office #1: Cboe Trading Floor 141 West Jackson Boulevard, Chicago, IL 60604
BD
CRD#: 46300
Chicago, IL
Past

March 23, 2020 - April 1, 2020

TJM INVESTMENTS, LLC

BD
CRD#: 46300
CHICAGO, IL
Past

December 15, 2015 - July 1, 2020

TRINITY EXECUTIONS, LLC

BD
CRD#: 159105
CHICAGO, IL
Past

November 24, 2014 - December 23, 2015

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
Chicago, IL
Past

October 25, 2013 - December 1, 2014

LIQUIDPOINT, LLC

BD
CRD#: 47658
CHICAGO, IL
Past

September 5, 2013 - September 30, 2013

TJM INVESTMENTS, LLC

BD
CRD#: 46300
CHICAGO, IL
Past

July 1, 2013 - August 30, 2013

MEB OPTIONS, LLC

BD
CRD#: 113332
CHICAGO, IL
Past

July 23, 2012 - June 28, 2013

RQD* CLEARING, LLC

BD
CRD#: 134284
NEW YORK, NY
Past

July 13, 2012 - November 13, 2012

X-CHANGE FINANCIAL ACCESS, LLC

BD
CRD#: 126201
CHICAGO, IL

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
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 56
Date: 7/12/2012
Proprietary Trader Qualification Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

TI
TJM INVESTMENTS, LLC
MND PARTNERS | TJM SECURITIES, LLC | TJM INVESTMENTS, LLC

CRD#: 46300 / SEC#: , 8-51370

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

Main Address
318 W. Adams Street Suite 900, Chicago, IL 60606
Mailing Address
318 W. Adams Street 9th Floor, Chicago, IL 60606
Phone number
(312) 432-5100
Established
Illinois since 10/13/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TJM HOLDINGS, LLCHOLDING COMPANY
BEITLER, STEVE ALLENCHIEF EXECUTIVE OFFICER1893827
BURKE, JOHN TERRENCECHIEF OPERATING OFFICER2116593
DANG, STACY BINHCHIEF COMPLIANCE OFFICER3143275
MURPHY, THOMAS JAMESCO-MANAGER857354
RISINGER, COLLEEN SULLIVANFINOP CFO2812053
SKWERES, DENISE PAREJKOFINOP CFO5332253

Disclosures

Regulatory Event12

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

TJM INVESTMENTS, LLC

CRD#: 46300Chicago, IL 60604

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