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TO

Thomas F. Omalley

MIDAS SECURITIES GROUP
Rochester, NY 14624
Some features on this profile are disabled
CRD#: 1144851
TO

Professional summary

Thomas Francis Omalley, who also goes by Thomas Nmn Omalley, Thomas Omalley, is a registered financial professional currently at MIDAS SECURITIES GROUP, INC. located in Rochester, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 3 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Nmn Omalley | Thomas Omalley

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 Thomas Francis Omalley's 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

June 14, 2005 - Present

MIDAS SECURITIES GROUP, INC.

Office #1: 2255 Buffalo Road, Rochester, NY 14624
BD
CRD#: 14009
Rochester, NY
Past

November 23, 2010 - January 3, 2022

BEXIL SECURITIES LLC

BD
CRD#: 153813
MILLBROOK, NY
Past

May 4, 1992 - June 9, 2005

REICH & TANG DISTRIBUTORS, INC.

BD
CRD#: 28078
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/30/1992
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MIDAS SECURITIES GROUP, INC.
BULL & BEAR MARKETING SERVICES | MIDAS SECURITIES GROUP, INC. | INVESTOR SERVICE CENTER, INC.

CRD#: 14009 / SEC#: , 8-29751

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

Main Address
2255 Buffalo Road, Rochester, NY 14624
Mailing Address
2255 Buffalo Road, Rochester, NY 14624
Phone number
(212) 785-0900
Established
Delaware since 12/19/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WINMILL & CO. INCORPORATEDPARENT COMPANY
KAMERMAN, RUSSELL LOUISSECRETARY, GENERAL COUNSEL, AND CHIEF COMPLIANCE OFFICER6432984
KLIMOSKI, DONALD IIASSISTANT SECRETARY, ASSISTANT GENERAL COUNSEL, AND ASSISTANT CHIEF COMPLIANCE OFFICER6854924
OMALLEY, THOMASDIRECTOR, CFO, CAO, TREASURER, CONTROLLER1144851
WINMILL, MARK CAMPBELLPRINCIPAL1181703
WINMILL, THOMAS BASSETTDIRECTOR, CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND CHIEF LEGAL OFFICER1849082

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.

Company Information

MIDAS SECURITIES GROUP, INC.

CRD#: 14009Rochester, NY 14624

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