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Thomas Briton Ryan

Nuveen Securities, LLC

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About Thomas Briton Ryan

Thomas Ryan is a financial advisor who has been active in the industry since 2002. Thomas is currently registered with Nuveen Securities, LLC and has been with the firm since 2016. Prior to Nuveen Securities, LLC, Thomas was employed at Foreside Fund Services, LLC, Mizuho Securities USA Inc., Newedge USA, LLC, Macquarie Capital (USA) Inc., Morgan Stanley & Co. Incorporated and Deutsche Bank Securities Inc.

Firm Information

Thomas Ryan is currently registered with Nuveen Securities, LLC. Nuveen Securities, LLC is a Limited Liability Company formed in September 1967. The firm is registered in 53 states and has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

66

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Thomas Ryan’s Registration & Firm History

NC

03/30/2016 - Present

Nuveen Securities, LLC (CHARLOTTE NC)

CT

03/24/2015 - 03/07/2016

FORESIDE FUND SERVICES, LLC (Stamford CT)

CT

06/19/2014 - 10/01/2014

FORESIDE FUND SERVICES, LLC (STAMFORD CT)

NY

10/17/2012 - 04/22/2014

MIZUHO SECURITIES USA INC. (NEW YORK NY)

NY

09/09/2009 - 09/27/2012

NEWEDGE USA, LLC (NEW YORK NY)

NY

05/13/2008 - 08/13/2009

MACQUARIE CAPITAL (USA) INC. (NEW YORK NY)

NY

07/21/2003 - 05/07/2008

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

NY

09/04/2001 - 05/08/2003

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/08/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/30/2012

Series 4 - Registered Options Principal Examination

BC

Issued 04/02/2010

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/11/2006

Series 3 - National Commodity Futures Examination

BC

Issued 02/28/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/29/2005

Series 7 - General Securities Representative Examination

BC

Issued 08/31/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Briton Ryan.
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