Thomas Curran has been Co-CEO/Sole Member/Chief Compliance Officer of Cim since December 2003, is a control person of the firm and directly owns 75% or more of it. Thomas Curran holds a Master of Business Administration from Wharton School at the University of Pennsylvania. Thomas Curran studied at Temple University.
Cim, LLC is an Albany, NY firm with $804M under management, 385 clients and 10 advisers across 3 offices, as of its March 2026 filing.
Thomas J. Curran is Founder & Co-Chief Executive Officer of Curran Wealth Management and Curran Investment Management. He began his career at First Albany Corporation, where he spent 24 years, and formed The Curran Group there in 1996. In 2004, he and his team of eleven investment professionals left Wachovia Securities and formed Curran Investment Management. He is a member of the Investment Committee and the firm's Chief Compliance Officer.
Thomas Curran’s longest registration is the current one, 21 years at Cim since 2004. Before joining Cim in 2004, Thomas Curran was registered through Wachovia Securities, LLC.
- Wachovia Securities, LLC– · 4 yearsAlbany, NY · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
Thomas Curran is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from November 2004; the most recent is New York, in August 2021.
- New JerseySince 12 November 2004
- New YorkSince 31 August 2021
- TexasResidentSince 19 May 2006
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 24 | General Securities Principal Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 7TO | General Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 4 September 2007 |
| Series 5 | Interest Rate Options Examination | 11 September 1993 |
| Series 15 | Foreign Currency Options Examination | 5 June 1993 |
| Series 65 | Uniform Investment Adviser Law Examination | 1 April 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 November 1985 |
| Series 40 | Registered Principal Examination | 21 March 1978 |
| PC | AMEX Put and Call Exam | 6 September 1977 |
| Series 1 | Registered Representative Examination | 13 May 1969 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Interest Rate Options Examination
- Name
- Foreign Currency Options Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Registered Principal Examination
- Name
- AMEX Put and Call Exam
- Name
- Registered Representative Examination
- Full name
- Thomas Joseph Curran
- CRD
- 59035
- Firm
- Cim · CRD 132136
- Role
- Co-CEO/Sole Member/Chief Compliance Officer
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1970
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- curranllc.com
Where does Thomas Curran work?
Thomas Curran has been Co-CEO/Sole Member/Chief Compliance Officer of Cim, LLC since December 2003, and is a control person of the firm.
Is Thomas Curran a financial advisor?
Yes. Thomas Curran has a current investment-adviser registration in New Jersey, New York and Texas, through Cim since November 2004.
How many years of experience does Thomas Curran have?
Thomas Curran has 56 years in the financial industry, since September 1970, across 2 adviser firms.
What exams has Thomas Curran passed?
Thomas Curran has passed 13 licensing exams: the Series 1, PC, Series 40, Series 63, Series 65, Series 15, Series 5, Series 53, Series 14, Series 24, Series 99TO, Series 7TO and Series 52TO. The earliest, the Series 1, was passed in May 1969. FINRA credited Thomas Curran with the SIE, which began in October 2018.
Is Thomas Curran registered with FINRA?
Yes. Thomas Curran has a current broker registration, under CRD 59035.
Source: FINRA BrokerCheck
How can I verify Thomas Curran’s record?
Search CRD 59035 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Thomas Curran’s full registration record.
