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THOMAS HOSFORD YORKE
CRD#: 1499991
IA
B
OCEANIC CAPITAL MANAGEMENT LLCCRD#: 146135 125 HALF MILE ROAD
SUITE 200
RED BANK, NJ 07701
SUITE 200
RED BANK, NJ 07701
0
Disclosures
37
Years of Experience
View By:
State Registrations
IA
New Jersey 4/4/2008
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Registered with this firm since 4/4/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/31/2015 - 07/28/2016 | RED BANK, NJ | |
B | 09/08/2010 - 07/23/2013 | NEW YORK, NY | |
B | 01/29/2008 - 08/31/2010 | NEW YORK, NY | |
B | 01/09/2006 - 01/09/2007 | NEW YORK, NY | |
B | 10/13/1997 - 12/31/2005 | NEW YORK, NY | |
B | 06/13/1996 - 10/01/1997 | NEW YORK, NY | |
B | 05/14/1988 - 03/28/1996 | NEW YORK, NY | |
B | 08/18/1989 - 10/23/1995 | ||
B | 08/18/1989 - 07/18/1994 | ||
B | 07/23/1986 - 05/14/1988 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.