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Thomas Masterson

Marex Capital Markets Inc.

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About Thomas Masterson

Thomas Masterson is a financial professional with over 27 years of experience in the industry. Thomas is currently registered with Marex Capital Markets Inc. and is located in Dallas, TX. Thomas has previously worked at Cowen and Company, Cowen Prime Services LLC, Wells Fargo Securities, LLC, Wells Fargo Prime Services, LLC, UBS Securities LLC, Banc of America Securities LLC, Fidelity Brokerage Services LLC, and Charles Schwab & Co., Inc. Thomas holds Series 7, 63, 66, 99TO and 57TO licenses. Thomas is licensed in Texas.

Firm Information

Thomas Masterson is currently registered with Marex Capital Markets Inc.. Marex Capital Markets Inc. is a Corporation formed in 1952 and approved for operations in all 50 states, the District of Columbia, and Puerto Rico. The firm has an active SEC registration and has reported 42 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

71

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 Masterson’s Registration & Firm History

TX

12/01/2023 - Present

Marex Capital Markets Inc. (DALLAS TX)

TX

08/16/2021 - 12/12/2023

COWEN AND COMPANY (DALLAS TX)

TX

05/20/2019 - 02/10/2022

COWEN PRIME SERVICES LLC (DALLAS TX)

CA

01/27/2016 - 05/16/2019

WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)

CA

04/14/2011 - 11/09/2017

WELLS FARGO PRIME SERVICES, LLC (SAN FRANCISCO CA)

TX

04/04/2006 - 04/12/2011

UBS SECURITIES LLC (DALLAS TX)

NY

05/16/2002 - 02/25/2006

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

RI

02/27/1997 - 03/27/2002

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

TX

02/22/1996 - 02/20/1997

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

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Licenses & Designations

BOTH

Issued 01/26/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/22/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/02/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Thomas Masterson.
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