Thomas P. Connolly
Professional summary
Thomas Patrick Connolly was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Thomas had worked at 4 firms, which includes WMA SECURITIES INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 1997 - August 10, 1998
WMA SECURITIES, INC.
July 8, 1987 - April 18, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 8, 1987 - April 18, 1997
SIGNATOR INVESTORS, INC.
February 12, 1985 - November 7, 1985
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
WMA SECURITIES, INC.
CRD#: 32625 / SEC#: , 8-45728
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
Red Flags
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