Thomas F. Mckeown
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 Farley Mckeown was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 1987 - March 9, 1988
PARKER/HUNTER INCORPORATED
July 2, 1984 - September 8, 1987
PRUDENTIAL EQUITY GROUP, LLC
July 20, 1983 - July 17, 1984
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
PARKER/HUNTER INCORPORATED
CRD#: 7324 / SEC#: , 8-15023
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JANNEY MONTGOMERY SCOTT LLC | SOLE SHAREHOLDER | 463 |
| DINGER, BRADLEY NELSON | SENIOR VP, CHIEF FINANACIAL OFFICER | 4768454 |
| KAMPMEINERT, ROBERT WILLIAM | PRESIDENT, & DIRECTOR | 263678 |
| KLEPPER, ALBERTA SPERNAK | SR. VP, CROP, SROP | 734611 |
| KNOTT, MARK DOUGLAS | DIRECTOR | 1113034 |
| LEWIS, JAY WARREN | SENIOR VP, CHIEF COUNSEL, CHIEF COMPLIANCE OFFICER | 1367819 |
| LOMBARD, JEROME FRANCIS JR | DIRECTOR | 1066832 |
| MCCULLOCH, ROBERT SPITTAL III | SENIOR VICE PRESIDENT, DIRECTOR | 730963 |
| NEWLIN, WILLIAM R | DIRECTOR | 2594648 |
| SCHERER, HOWARD BRUCE | DIRECTOR | 1235668 |
| WOLITARSKY, JAMES WILLIAM | CEO AND CHAIRMAN | 1535038 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 1 |
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.
