Thomas Shaughnessy
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 Shaughnessy was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 6 firms and has passed the Series 63, Series 7 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
October 26, 1995 - March 8, 2005
CHURCH STREET SECURITIES CORP.
June 11, 1993 - February 19, 2004
CASTLE SECURITIES CORP.
June 5, 1986 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
February 22, 1985 - March 26, 1986
FIRST AFFILIATED SECURITIES, INC.
November 12, 1984 - February 25, 1985
SECO SECURITIES, INC.
September 21, 1983 - November 14, 1983
FIRST JERSEY 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
CHURCH STREET SECURITIES CORP.
CRD#: 29134 / SEC#: , 8-44130
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTLE HOLDING CORP | SHAREHOLDER | |
| NEWSOME, SHAKESPEARE | DIRECTOR AND SOLE OFFICER, CCO | 1777098 |
Disclosures
| Regulatory Event | 1 |
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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