Thomas R. Maguire
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 Raymond Maguire, who also goes by Thomas Raymond Maguire III, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 13 firms and has passed the Series 63, Series 7, Series 6 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
September 19, 2012 - February 4, 2014
SANTANDER SECURITIES LLC
September 19, 2012 - February 4, 2014
SANTANDER SECURITIES LLC
July 25, 2011 - September 19, 2012
LPL FINANCIAL LLC
July 25, 2011 - September 19, 2012
LPL FINANCIAL LLC
April 13, 2011 - July 15, 2011
ALLIANZ LIFE FINANCIAL SERVICES, LLC
December 19, 2006 - May 12, 2009
RIVERSOURCE DISTRIBUTORS, INC.
July 28, 1999 - December 31, 2006
IDS LIFE INSURANCE COMPANY
July 28, 1999 - January 24, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
December 23, 1998 - July 28, 1999
UVEST FINANCIAL SERVICES GROUP, INC.
January 1, 1997 - January 5, 1999
GUARANTY BROKERAGE SERVICES, INC.
March 30, 1995 - November 7, 1996
CUNA BROKERAGE SERVICES, INC.
July 1, 1993 - April 21, 1995
LPL FINANCIAL LLC
July 12, 1991 - July 6, 1993
CETERA WEALTH SERVICES, LLC
March 28, 1988 - April 17, 1990
CUNA BROKERAGE SERVICES, INC.
December 12, 1985 - March 9, 1988
MONEY CONCEPTS CAPITAL CORP
September 14, 1982 - December 16, 1983
WADDELL & REED
August 10, 1982 - February 7, 1983
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
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
Current Firm
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | |
| BOWLER, DANIEL P | CHIEF FINANCIAL OFFICER | 5354805 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| CYLC, JOHN ALLAN II | NATIONAL BUSINESS DIRECTOR | 2917559 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SNYDER, JONATHAN ANDREW | PRESIDENT & CEO | 6514215 |
| VANNAH, JAMES DOUGLASS | CHIEF LEGAL OFFICER & SECRETARY | 5679595 |
| VILLANO, ALYSON NICOLE | DIRECTOR | 7473984 |
| WATSON, JONATHAN EDWARD | DIRECTOR | 7631421 |
Regulatory assets under management
| Total Number of Accounts | 10,401 |
| AUM (Assets Under Management) | $ 2,553,311,017 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
