Thomas Dowd
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Dowd, who also goes by Thomas M Dowd, Thomas M Dowd, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2017. Thomas had worked at 3 firms and has passed the Series 63, SIE, Series 7TO, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2022 - February 3, 2023
WHITE OAK MERCHANT PARTNERS LLC
August 30, 2017 - April 30, 2018
INTL FCSTONE CREDIT TRADING LLC
April 25, 2017 - July 24, 2017
SANFORD C. BERNSTEIN & CO., LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 6/21/2022
General Securities Representative ExaminationCurrent Firm
WHITE OAK MERCHANT PARTNERS LLC
CRD#: 140142 / SEC#: , 8-67283
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
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