Thomas J. Lynch
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 Joseph Lynch was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2021 - May 10, 2022
ROBINHOOD FINANCIAL, LLC
January 29, 2021 - July 8, 2021
PRUCO SECURITIES, LLC.
January 4, 2021 - July 8, 2021
PRUCO SECURITIES, LLC.
September 8, 2017 - December 1, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 9, 2012 - December 1, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 23, 2005 - July 21, 2010
LEGEND EQUITIES CORPORATION
November 1, 1988 - June 27, 1994
JPMSI
March 25, 1988 - November 1, 1988
J.P. MORGAN EQUITIES INC.
June 9, 1986 - April 5, 1988
BT BROKERAGE CORPORATION
October 21, 1982 - September 17, 1985
A. G. EDWARDS & SONS, 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
Series 8
Date: 4/22/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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