Thomas B. Freeman
Professional Summary
Thomas B. Freeman is a registered financial advisor currently at CONNAUGHT (U.S.) LLC located in New York, New York. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2014. Thomas has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
12 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
CONNAUGHT (U.S.) LLC
Contact Information
Main Address
6th Floor West 170 Piccadilly, London, W1J 9EJMailing Address
6th Floor West 170 Piccadilly, London, W1J 9EJPhone Number
+44 20 7042 8097Established
Delaware since 03/10/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/28/2021)
(2/5/2024)
(6/3/2020)
(6/4/2020)
(6/3/2020)
(6/23/2020)
(6/3/2020)
(7/31/2020)
(6/3/2020)
(6/3/2020)
(11/30/2021)
(4/19/2024)
(2/5/2024)
(10/7/2021)
(6/17/2020)
(6/3/2020)
(9/10/2020)
(11/12/2021)
(6/3/2020)
(2/5/2024)
(10/27/2021)
(6/3/2020)
(6/1/2020)
(6/3/2020)
(6/3/2020)
(6/15/2020)
(2/5/2024)
(6/3/2020)
(4/19/2024)
(6/3/2020)
(4/19/2024)
(7/17/2020)
(10/14/2021)
(6/3/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 2014About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas B. Freeman's CRS (Customer Relationship Summary).
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