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TK

Thomas C. Keenan

COMMERCE STREET CAPITAL
Dallas, TX 75202
Some features on this profile are disabled
CRD#: 7000901
TK

Professional summary

Thomas Christman Keenan, who also goes by Tom Keenan, is a registered financial professional currently at COMMERCE STREET CAPITAL, LLC located in Dallas, Texas.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2018. Thomas has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Keenan

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 Christman Keenan's CRS (Customer Relationship Summary).
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

August 23, 2018 - Present

COMMERCE STREET CAPITAL, LLC

Office #1: 1445 Ross Ave. Suite 2700, Dallas, TX 75202
BD
CRD#: 143797
Dallas, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(10/24/2018)
RR
California
(10/24/2018)
RR
Idaho
(10/24/2018)
RR
Montana
(10/24/2018)
RR
Nevada
(10/24/2018)
RR
Oregon
(10/16/2018)
RR
Utah
(10/24/2018)
RR
Washington
(10/24/2018)
RR
Wyoming
(10/24/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/23/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
COMMERCE STREET CAPITAL, LLC
COMMERCE STREET CAPITAL, LLC

CRD#: 143797 / SEC#: , 8-67606

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

Main Address
1445 Ross Ave. Suite 2700, Dallas, TX 75202
Mailing Address
1445 Ross Ave. Suite 2700, Dallas, TX 75202
Phone number
(214) 545-6800
Established
Texas since 01/18/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
COMMERCE STREET HOLDINGS, LLCMEMBER
GROSS, WILLIAM DUDLEYCHAIRMAN1032405
HASHAWAY, BOBBY LEECCO, COO, EVP, SECRETARY5675925
JOHN, VARKEY (NMN)FINOP4530162
WILEY, DORY ALANPRESIDENT, CEO2034240

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

COMMERCE STREET CAPITAL, LLC

CRD#: 143797Dallas, TX 75202

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