Thomas J. Monahan
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 Monahan was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 5 firms and has passed the Series 63, Series 7, Series 4, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2006 - September 9, 2008
OBSIDIAN FINANCIAL GROUP, LLC
September 30, 1991 - October 21, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 12, 1989 - September 23, 1991
CITIGROUP GLOBAL MARKETS INC.
November 18, 1985 - December 7, 1989
W.J. NOLAN & COMPANY, INC.
May 25, 1983 - October 21, 1985
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, 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
OBSIDIAN FINANCIAL GROUP, LLC
CRD#: 104255 / SEC#: , 8-52756
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 9 |
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.
