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Detailed Report
THOMAS PHILIP EASOW
THOMAS EASOW
CRD#: 5619764
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 7 E Carver St
Huntington, NY 11743
Registration History
2010201220142016201820202022202420262 FIRMS2019 - 2020 (1 year)2 FIRMS2020 - Present (4 years)BJ.P. MORGAN INSTITUTIONAL INVE... (CRD# 102920)2011 - 2018 (7 years)BJPMORGAN DISTRIBUTION SERVICES... (CRD# 104234)2010 - 2011 (<1 year)BJ.P. MORGAN SECURITIES INC. (CRD# 79)2009 - 2010 (1 year)
License(s)

State Registrations

B
Connecticut 9/25/2020
B
North Carolina 1/13/2021
B
Florida 9/25/2020
B
Pennsylvania 2/9/2021
B
New Jersey 9/25/2020
B
South Carolina 8/17/2022
IA
New Jersey 9/29/2020
B
Virginia 9/27/2024
B
New York 9/25/2020
B
Washington 5/13/2021
IA
New York 4/16/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
7 E Carver St, Huntington, NY 11743
Rockville Centre, NY
Registered with this firm since 9/29/2020
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
7 E Carver St, Huntington, NY 11743
Rockville Centre, NY
Registered with this firm since 9/25/2020
Previous Registration(s)
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IA
 03/29/2019 - 10/02/2020 EQUITABLE ADVISORS, LLC (CRD#:6627) WOODBURY, NY
B
 02/07/2019 - 10/02/2020 EQUITABLE ADVISORS, LLC (CRD#:6627) WOODBURY, NY
B
 01/03/2011 - 06/06/2018 J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (CRD#:102920) NEW YORK, NY
B
 08/04/2010 - 01/03/2011 JPMORGAN DISTRIBUTION SERVICES, INC. (CRD#:104234) NEW YORK, NY
B
 05/04/2009 - 08/12/2010 J.P. MORGAN SECURITIES INC. (CRD#:79) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.