Thomas M. Mcmanus
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Michael Mcmanus was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 5, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2010 - March 31, 2023
LAZARD ASSET MANAGEMENT SECURITIES LLC
October 6, 2009 - December 17, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 23, 2008 - December 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 25, 1999 - May 6, 2008
BANC OF AMERICA SECURITIES LLC
April 17, 1997 - February 2, 1998
NATWEST SECURITIES CORPORATION
April 4, 1991 - January 7, 1997
MORGAN STANLEY & CO. LLC
March 2, 1983 - January 16, 1991
GOLDMAN SACHS & CO. LLC
December 2, 1981 - March 21, 1983
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 6/17/1983
Interest Rate Options ExaminationCurrent Firm
LAZARD ASSET MANAGEMENT SECURITIES LLC
CRD#: 129119 / SEC#: , 8-66201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Red Flags
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