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Thomas Peter Kaczan

Tradeup Securities, Inc.

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About Thomas Peter Kaczan

Thomas Kaczan is a Registered Representative and Investment Advisor Representative who has been active in the financial services industry since 2005. Currently, Thomas is registered with Tradeup Securities, Inc. with offices in Roseland, NJ and New York, NY. Prior to joining Tradeup Securities, Thomas was registered with Velocity Capital, LLC; Velocity Clearing, LLC; Traderfield Securities Inc.; and HORNOR, TOWNSEND & KENT, INC.

Firm Information

Thomas Kaczan is currently registered with Tradeup Securities, Inc.. Tradeup Securities, Inc. is a corporation formed on September 3, 1986. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

19

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 Kaczan’s Registration & Firm History

NJ

07/05/2022 - Present

Tradeup Securities, Inc. (ROSELAND NJ)

NY

03/10/2020 - 08/02/2022

VELOCITY CAPITAL, LLC (NEW YORK NY)

NY

11/12/2019 - 08/02/2022

VELOCITY CLEARING, LLC (New York NY)

NY

08/16/2018 - 02/14/2020

TRADERFIELD SECURITIES INC. (Massapequa NY)

CT

04/24/2017 - 02/15/2018

HORNOR, TOWNSEND & KENT, INC. (CHESHIRE CT)

NY

04/04/2008 - 09/09/2016

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

CT

09/14/2004 - 02/29/2008

ABBEY NATIONAL SECURITIES INC. (STAMFORD CT)

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Licenses & Designations

IA

Issued 06/09/2017

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/09/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/07/2005

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/19/2011

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/23/2006

Series 3 - National Commodity Futures Examination

BC

Issued 09/13/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe EDGX Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

New York Stock Exchange

Disclosures

There are no public disclosures for Thomas Peter Kaczan.
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