Thomas R. Buckley
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 Rowe Buckley was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2014. Thomas had worked at 5 firms and has passed the Series 63, Series 16, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2023 - November 24, 2025
CANACCORD GENUITY LLC
July 16, 2018 - July 12, 2023
U. S. BOSTON CAPITAL CORPORATION
February 9, 2018 - July 24, 2018
CANTELLA & CO., INC.
June 7, 2016 - February 12, 2018
WOOD (ARTHUR W.) COMPANY, INC.
June 26, 2014 - December 2, 2014
DETWILER FENTON & CO.
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
Current Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
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.
