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TB

Thomas Brett

ROTHSCHILD & CO US
Boston, MA 02199
Some features on this profile are disabled
CRD#: 7599440
TB

Professional summary

Thomas Brett is a registered financial professional currently at ROTHSCHILD & CO US INC. located in Boston, Massachusetts.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2022. Thomas has worked at 2 firms and has passed the SIE and Series 79TO exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Brett'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

October 15, 2025 - Present

ROTHSCHILD & CO US INC.

Office #1: 800 Boylston Street Suite 1710, Boston, MA 02199
BD
CRD#: 2910
Boston, MA
Past

November 21, 2022 - September 29, 2025

CAPSTONE PARTNERS

BD
CRD#: 132185
BOSTON, MA

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
SIE
Date: 11/21/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/13/2022
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

R&
ROTHSCHILD & CO US INC.
NEW COURT SECURITIES CORPORATION | ROTHSCHILD INC. | ROTHSCHILD & CO US INC.

CRD#: 2910 / SEC#: , 8-13852

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

Main Address
1251 Avenue Of The Americas, New York, NY 10020
Mailing Address
1251 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 403-3500
Established
Delaware since 07/20/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ROTHSCHILD & CO NORTH AMERICA INC.DIRECT SHAREHOLDER
CARROLL, JOHN MURRAYDIRECTOR2605675
FELDMAN, TRACY JDIRECTOR2575503
LONDON, FRANK STEVENCHIEF COMPLIANCE OFFICER5861920
NEISSA, JAMES MANUELDIRECTOR2142240
SCHACKERT, CHRISTA MARYPRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER4219093
SPELLER, MICHAEL CHARLESCHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR3105214

Disclosures

Regulatory Event1

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

ROTHSCHILD & CO US INC.

CRD#: 2910Boston, MA 02199

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