Thomas E. Mahony
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 Edward Mahony, who also goes by Tom Mahony, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2012 - June 3, 2020
THE O.N. EQUITY SALES COMPANY
April 23, 2010 - March 12, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 21, 2007 - February 11, 2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 6, 2003 - November 6, 2007
VP DISTRIBUTORS LLC
August 7, 2002 - September 11, 2003
WS GRIFFITH SECURITIES, INC.
April 18, 2001 - September 9, 2002
FARMERS FINANCIAL SOLUTIONS, LLC
August 23, 1995 - April 16, 2001
NYLIFE SECURITIES LLC
July 21, 1993 - August 7, 1995
METROPOLITAN LIFE INSURANCE COMPANY
July 21, 1993 - August 7, 1995
MSI FINANCIAL SERVICES, INC.
January 23, 1990 - June 28, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 23, 1990 - June 28, 1993
OSAIC FA, INC.
June 26, 1984 - January 30, 1990
G. R. PHELPS & CO., 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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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