Thomas J. Hannan
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 Hannan, who also goes by Thomas Joseph Hannan, Thomas Joseph Hannon, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 31 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
May 4, 2022 - January 13, 2025
TD PRIVATE CLIENT WEALTH LLC
May 3, 2022 - January 13, 2025
TD PRIVATE CLIENT WEALTH LLC
June 2, 2016 - August 30, 2021
VALIC FINANCIAL ADVISORS, INC.
June 1, 2016 - August 30, 2021
VALIC FINANCIAL ADVISORS, INC.
February 24, 2014 - June 3, 2016
PNC WEALTH MANAGEMENT LLC
February 19, 2014 - June 3, 2016
PNC WEALTH MANAGEMENT LLC
September 9, 2010 - February 26, 2014
MSI FINANCIAL SERVICES, INC.
July 8, 2010 - February 26, 2014
MSI FINANCIAL SERVICES, INC.
November 25, 2009 - June 22, 2010
HSBC SECURITIES (USA) INC.
November 25, 2009 - June 22, 2010
HSBC SECURITIES (USA) INC.
March 20, 2006 - September 10, 2009
CHASE INVESTMENT SERVICES CORP.
March 20, 2006 - September 10, 2009
CHASE INVESTMENT SERVICES CORP.
October 20, 2004 - March 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - March 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 5, 2004 - October 20, 2004
QUICK & REILLY, INC.
March 5, 2004 - October 20, 2004
QUICK & REILLY, INC.
June 5, 2002 - March 2, 2004
MORGAN STANLEY DW INC.
June 14, 2000 - March 2, 2004
MORGAN STANLEY DW INC.
March 8, 2000 - June 23, 2000
R. SEELAUS & CO., LLC
November 12, 1997 - December 17, 1999
LEBENTHAL & CO., INC.
July 21, 1995 - May 6, 1997
FIRST EMPIRE SECURITIES, INC.
July 14, 1994 - September 27, 1994
W.A. CAPITAL MARKETS
August 23, 1991 - May 20, 1994
WOLFE & HURST BOND BROKERS INC.
March 14, 1985 - February 12, 1991
ASIEL & CO. LLC
January 26, 1984 - January 22, 1985
MABON, NUGENT & CO.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
