Thomas P. Roughan
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 Paul Roughan was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 3 firms and has passed the Series 63, 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
May 25, 2010 - March 9, 2012
RICHARD BROTHERS SECURITIES
October 1, 1995 - December 31, 1998
VOYA FINANCIAL ADVISORS, INC.
November 15, 1984 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
State Registrations and Notice Filings
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Exams
Current Firm
RICHARD BROTHERS SECURITIES
CRD#: 105285 / SEC#: , 8-52978
Contact information
FINRA licenses (12 States and Territories)
Red Flags
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