Thomas H. Scanlan
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 Hurley Scanlan, who also goes by Thomas H Scanlan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 4 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
March 5, 2018 - September 13, 2018
CAPE SECURITIES INC.
August 29, 2017 - October 31, 2017
FIRST DOMINION CAPITAL CORP.
June 16, 2015 - October 5, 2016
HARTFORD FUNDS DISTRIBUTORS, LLC
February 14, 2011 - May 8, 2015
PIMCO INVESTMENTS LLC
June 9, 2006 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
June 9, 2006 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
January 19, 2006 - May 30, 2006
AIM PRIVATE ASSET MANAGEMENT
January 19, 2006 - May 30, 2006
INVESCO DISTRIBUTORS, INC.
July 15, 2005 - January 6, 2006
AT INVESTOR SERVICES, INC.
June 13, 2002 - July 15, 2005
GPC SECURITIES, INC.
October 29, 1997 - May 16, 2002
INVESCO DISTRIBUTORS, INC.
September 22, 1995 - September 20, 1997
GPC SECURITIES, INC.
June 7, 1994 - July 21, 1995
GUARDIAN INVESTOR SERVICES LLC
June 6, 1991 - June 7, 1994
FEDERATED SECURITIES CORP.
January 1, 1989 - January 25, 1991
PEGASUS CAPITAL CORPORATION
January 13, 1984 - November 21, 1988
THE ADVISORS GROUP, INC.
September 24, 1982 - March 25, 1983
UBS FINANCIAL SERVICES INC.
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
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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