Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Brennan is a licensed securities professional with over 20 years of experience in the financial services industry. Currently, Thomas is registered with Nomura Securities International, Inc. in New York, NY. Throughout his career, Thomas has held positions at several prominent firms, including Wells Fargo Securities, LLC, Barclays Capital Inc., Scotia Capital (USA) Inc., Citigroup Global Markets Inc., UBS Securities LLC, Morgan Stanley & Co., Incorporated, and Nomura Securities International, Inc. Thomas holds various licenses, including Series 3, 7, 63, 7TO, 22TO, 6TO, 82TO, and 99TO.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
NY
05/18/2023 - Present
Nomura Securities International, Inc. (NEW YORK NY)
NC
07/15/2019 - 09/09/2021
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NY
06/28/2016 - 09/01/2017
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
08/06/2013 - 10/07/2014
SCOTIA CAPITAL (USA) INC. (NEW YORK NY)
NY
01/20/2011 - 04/23/2013
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/09/2007 - 10/06/2010
UBS SECURITIES LLC (NEW YORK NY)
NY
06/23/2004 - 10/17/2007
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
03/03/1999 - 06/07/2000
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
BC
Issued 09/16/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 10/02/2022
Series 7TO - General Securities Representative Examination
BC
Issued 09/01/2017
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2014
Series 3 - National Commodity Futures Examination
BC
Issued 03/02/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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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