Thomas K. McGowan

Associate Director, Division of Trading and Markets, Office of Broker-Dealer Finances U.S. Securities and Exchange Commission

Since 1994, Mr. McGowan has worked in the Office of Broker-Dealer Finances at the Commission. Areas of responsibility include the broker-dealer net capital rule, the customer protection rule, and recordkeeping and reporting requirements.

Prior to working at the Commission, Mr. McGowan worked as an attorney with McGuire, Woods, Battle & Boothe. 


University of Virginia School of Law

J.D. 1987

Virginia Polytechnic Institute and State University

B.S. Economics 1984

Magna Cum Laude