Thomas A. Mulrooney
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 Aloysius Mulrooney, who also goes by Thomas Mulrooney, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2012 - September 27, 2013
SANDGRAIN SECURITIES LLC
October 10, 1995 - November 18, 2022
RAFFERTY CAPITAL MARKETS, LLC
April 13, 1993 - March 17, 1995
CANTOR FITZGERALD SECURITIES
April 13, 1993 - March 17, 1995
MINT BROKERS
April 13, 1993 - March 17, 1995
CANTOR FITZGERALD & CO.
June 21, 1991 - January 14, 1993
J.J. KENNY DRAKE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SANDGRAIN SECURITIES LLC
CRD#: 26004 / SEC#: , 8-42262
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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