TD
Thomas J. Dixey
ROTHSCHILD & CO REDBURN
New York, NY 10017
Some features on this profile are disabled
CRD#: 8019361
TD
Professional summary
Thomas James Dixey, who also goes by Thomas Dixey, is a registered financial professional currently at ROTHSCHILD & CO REDBURN located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2025. Thomas has worked at 1 firm and has passed the Series 63, Series 57TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Dixey
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas James Dixey'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®
NoneExperience
Current
January 2, 2025 - Present
ROTHSCHILD & CO REDBURN
Office #1: 461 Fifth Avenue 15th Floor, New York, NY 10017BD
CRD#: 140564
New York, NY
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
Alabama(1/13/2025)
RR
Alaska(1/13/2025)
RR
Arizona(1/13/2025)
RR
California(1/13/2025)
RR
Colorado(1/8/2025)
RR
Connecticut(1/13/2025)
RR
Delaware(1/13/2025)
RR
District of Columbia(1/8/2025)
RR
Florida(1/8/2025)
RR
Georgia(1/13/2025)
RR
Illinois(1/13/2025)
RR
Iowa(1/13/2025)
RR
Kansas(1/13/2025)
RR
Kentucky(1/13/2025)
RR
Maryland(1/8/2025)
RR
Massachusetts(1/13/2025)
RR
Minnesota(1/13/2025)
RR
Missouri(1/13/2025)
RR
New Hampshire(1/13/2025)
RR
New Jersey(1/13/2025)
RR
New York(1/13/2025)
RR
North Carolina(1/13/2025)
RR
Ohio(1/14/2025)
RR
Oklahoma(1/13/2025)
RR
Oregon(1/13/2025)
RR
Pennsylvania(1/13/2025)
RR
Rhode Island(1/13/2025)
RR
South Dakota(1/13/2025)
RR
Tennessee(1/13/2025)
RR
Texas(1/13/2025)
RR
Utah(1/13/2025)
RR
Vermont(1/13/2025)
RR
Virginia(1/13/2025)
RR
Washington(1/13/2025)
RR
Wisconsin(1/13/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/27/2025
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
Current Firm
R&
ROTHSCHILD & CO REDBURN
REDBURN (USA) LLC | ROTHSCHILD & CO REDBURN | REDBURN PARTNERS (USA) LP | REDBURN ATLANTIC
CRD#: 140564 / SEC#: , 8-67320
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
461 Fifth Avenue 15th Floor, New York, NY 10017
Mailing Address
461 Fifth Avenue 15th Floor, New York, NY 10017
Phone number
(212) 803-7300
Established
Delaware since 04/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REDBURN (EUROPE) LIMITED | PARENT COMPANY | |
| BRISTOWE, WILLIAM ROBERT | HEAD OF US ACCESS AND REDBURN ATLANTIC US VICE CHAIRMAN | 1798670 |
| CONNELLY, ARTHUR MARK JR. | US HEAD OF ECM | 2056930 |
| GORDON, BENJAMIN JAKE | CHIEF COMPLIANCE OFFICER | 6677911 |
| JOSEPH, ROWAN MURRAY | HEAD OF NORTH AMERICA | 5517410 |
| KRZAK, ALEXANDER JACOB | PRINCIPAL OPERATIONS OFFICER | 6349160 |
| MCELLIGOTT, CASEY MEREDITH | HEAD OF US EXECUTION | 4440554 |
| SCHACKERT, CHRISTA MARY | FINOP, PRINCIPAL FINANCIAL OFFICER | 4219093 |
Disclosures
| Regulatory Event | 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.
