Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas McCaffrey is a financial advisor with Oppenheimer & Co. Inc. in New York, NY, Thomas has over 27 years of experience in the financial services industry. Prior to joining Oppenheimer, Thomas was an advisor at Cowen and Company. Thomas is a licensed securities professional in New York. He holds the Series 7, 55, 63, SIE, and 57TO licenses. Thomas's practice focuses on providing financial planning and portfolio management services for individual and institutional clients.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
02/21/2024 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
11/09/2015 - 01/26/2024
COWEN AND COMPANY (Garden City NY)
NY
02/04/2009 - 11/03/2015
SUSQUEHANNA FINANCIAL GROUP, LLLP (NEW YORK NY)
NY
03/03/2004 - 02/03/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NC
07/01/2003 - 02/23/2004
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
12/11/2000 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NJ
03/25/1999 - 12/07/2000
KNIGHT SECURITIES, L.P. (JERSEY CITY NJ)
NY
05/01/1998 - 02/17/1999
CATHAY FINANCIAL LLC (NEW YORK NY)
CA
11/24/1997 - 06/17/1998
KIRKLAND MESSINA, LLC (LOS ANGELES CA)
NY
07/24/1995 - 03/06/1997
BDS SECURITIES LLC (NEW YORK NY)
BC
Issued 01/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/14/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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