Kevin F. Mcguigan

L.O. THOMAS & CO.

Linwood, NJ 08221

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CRD#: 1052673

Professional summary

Kevin Frank Mcguigan is a registered financial professional currently at L.O. THOMAS & CO. INC. located in Linwood, New Jersey.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1982. Kevin has worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Frank Mcguigan's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 3, 2000 - Present

L.O. THOMAS & CO. INC.

Office #1: 2106 New Road, Ste. A-6, Box 293, Linwood, NJ 08221

CRD#: 23657

Linwood, NJ

Past

July 1, 2015 - December 31, 2015

CORNERSTONE RESOURCES GROUP

RIA

CRD#: 124023

LINDENWOLD, NJ

Past

December 13, 1996 - May 3, 2000

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

July 17, 1996 - December 11, 1996

BUCKHEAD FINANCIAL CORPORATION

CRD#: 18398

Past

April 29, 1992 - July 17, 1996

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

June 24, 1988 - May 1, 1992

AMERICAN CAPITAL CORPORATION

CRD#: 16124

VALLEY FORGE, PA

Past

July 15, 1982 - September 20, 1988

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New Jersey
(5/3/2000)

Pennsylvania
(5/3/2000)

Exams

State Security Law Exam

Series 63

Date: 10/25/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/14/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/16/1986

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

L.O. THOMAS & CO. INC.

L.O. THOMAS & CO. | L.O. THOMAS & CO. INC.

CRD#: 23657 / SEC#: , 8-40875

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

Linwood Commons-suite A-6 2106 New Road, Linwood, NJ 08221

Mailing Address

Linwood Commmons-suite A-6 2106 New Road Po Box 293, Linwood, NJ 08221

Phone number

(609) 927-4044

Established

New Jersey since 03/01/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (22 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
RISLEY, JOHN WESLEY JR	PRESIDENT, FINOP, CEO,CCO	844622

Disclosures

Regulatory Event

Red Flags

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Kevin F. Mcguigan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Frank Mcguigan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORNERSTONE RESOURCES GROUP

SECURITIES SERVICE NETWORK, LLC

BUCKHEAD FINANCIAL CORPORATION

WALNUT STREET SECURITIES, INC.

AMERICAN CAPITAL CORPORATION

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/25/1983

SIE

Date: 10/1/2018

Series 6

Date: 7/14/1982

Series 26

Date: 12/16/1986

FINRA

Current Firm

L.O. THOMAS & CO. INC.

Contact information

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

L.O. THOMAS & CO. INC.

TRUST BUT VERIFY

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