Thomas Dodge, financial advisor New York NY
81 score

Thomas Dodge

CRD Number: 1189698
Current Firm: Citigroup Global Markets Inc.

Thomas Dodge (CRD# 1189698) is an Investment Advisor Representative working at Citigroup Global Markets Inc. in New York, NY and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Citigroup New York, NY Oct 2015 - Current 1
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Oct 2015 < 1
Morgan Stanley Jericho, NY Sep 2012 - Oct 2015 3
Lpl Financial Bayshore, NY Jul 2012 - Sep 2012 < 1
Unemployed Sands Point, NY Feb 2012 - Jul 2012 < 1
Susquehanna Financial Group, Lllp New York, NY Mar 2010 - Jan 2012 1
Saratoga Capital New York, NY Nov 2008 - Mar 2010 1
Bio-ib Capital Partners, LLC New York, NY May 2008 - Nov 2008 < 1
Unemployed Manhasset, NY Nov 2007 - May 2008 < 1
Linsco Private Ledger Corp Bay Shore, NY Mar 2007 - Oct 2007 < 1
Hitter Opportunity Fund Garden City, NY Feb 2004 - Mar 2007 3
Harbert Management Corporation New York, NY May 2003 - Mar 2007 3
Hmc Investments, Inc. New York, NY May 2003 - Mar 2007 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1983
S66 NASAA Uniform Combined State Law Examination Nov 2012
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Thomas O. Dodge
Phone Number: 212-816-6000
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    22,285
    MILLIONS
  • Total Number of Accounts
    42,945
    ACCOUNTS
  • Average Account Value
    $518,927
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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