TC
Thomas E. Corrigan
REGISTER FINANCIAL ADVISORS
Alpharetta, GA
Some features on this profile are disabled
CRD#: 1015196
TC
Professional summary
Thomas Edward Corrigan is a registered financial advisor currently at REGISTER FINANCIAL ADVISORS, LLC located in Alpharetta, Georgia and REGISTER FINANCIAL ASSOCIATES, INC. located in Atlanta, Georgia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Register Financial Advisors LLC, Investment related, 3500 Lenox Rd., Ste 1700, Atlanta GA 30326, Nature of business: Financial Services, Investment Advisor: Provide Advisor services to clients, Started 1/1/2012, 40hrs/month, about 20hrs/month during securities trading hours. 2. Fulton County Republican Party, Non-Investment Related, 981 Canton St. Suite 200B, Roswell, GA 30075, Nature of business: To elect conservative candidates to municipal and county positions, Trustee started 10/8/2023, 2 to 3 hours per month outside of securities trading hours. Trustees shall maintain complete records and accounts of all expenditures and investments of the FCRP Trust which entries will be made in accordance with the modified cash basis method of accounting.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Edward Corrigan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 7, 2012 - Present
REGISTER FINANCIAL ADVISORS, LLC
RIA
CRD#: 143884
Alpharetta, GA
Current
January 3, 2012 - Present
REGISTER FINANCIAL ASSOCIATES, INC.
Office #1: 3500 Lenox Road Suite 1700, Atlanta, GA 30326BD
CRD#: 30568
Atlanta, GA
Past
December 1, 2004 - January 9, 2012
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
ATLANTA, GA
Past
November 22, 2004 - January 9, 2012
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
ATLANTA, GA
Past
October 14, 2004 - November 23, 2004
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
ATLANTA, GA
Past
January 3, 2003 - November 23, 2004
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
April 3, 1988 - April 18, 1995
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
Past
September 12, 1984 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
October 31, 1981 - August 31, 1984
MOSELEY SECURITIES CORPORATION
BD
CRD#: 7908
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RF
REGISTER FINANCIAL ADVISORS, LLC
REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC
CRD#: 143884 / SEC#: 801-81190
RIA
Registered Investment Advisory firm - (4/17/2015 Approved)Alabama
Registered Investment Advisory firm - (4/22/2015 Terminated)Florida
Registered Investment Advisory firm - (4/17/2015 Terminated)Georgia
Registered Investment Advisory firm - (6/25/2015 Terminated)Louisiana
Registered Investment Advisory firm - (8/14/2015 Terminated)North Carolina
Registered Investment Advisory firm - (4/17/2015 Terminated)Texas
Registered Investment Advisory firm - (4/17/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/3/2012)
RR
California(1/3/2012)
RR
Colorado(2/20/2013)
RR
Connecticut(1/3/2012)
RR
Florida(3/19/2012)
RR
Georgia(1/3/2012)
IAR
Georgia(2/7/2012)
RR
Maryland(1/4/2012)
RR
Massachusetts(1/3/2012)
RR
Michigan(1/8/2019)
RR
New Jersey(1/3/2012)
RR
New York(1/3/2012)
RR
North Carolina(1/9/2012)
RR
Pennsylvania(1/3/2012)
RR
South Carolina(1/3/2012)
RR
Tennessee(1/3/2012)
RR
Texas(1/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
REGISTER FINANCIAL ADVISORS, LLC
REGISTER & AKERS ADVISORY SERVICES, LLC. | REGISTER FINANCIAL ADVISORS, LLC | REGISTER AND AKERS MANAGEMENT SERVICES, LLC
CRD#: 143884 / SEC#: 801-81190
RIA
Registered Investment Advisory firm - (4/17/2015 Approved)Alabama
Registered Investment Advisory firm - (4/22/2015 Terminated)Florida
Registered Investment Advisory firm - (4/17/2015 Terminated)Georgia
Registered Investment Advisory firm - (6/25/2015 Terminated)Louisiana
Registered Investment Advisory firm - (8/14/2015 Terminated)North Carolina
Registered Investment Advisory firm - (4/17/2015 Terminated)Texas
Registered Investment Advisory firm - (4/17/2015 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3500 Lenox Road Suite 1700, Atlanta, GA 30326
Mailing Address
Phone number
(404) 364-2180
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 835 |
| AUM (Assets Under Management) | $ 396,907,109 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
