TM
Thomas P. Mchugh
NEWEDGE SECURITIES
St. Louis, MO 63127
Some features on this profile are disabled
CRD#: 1353199
TM
Professional summary
Thomas Peter Mchugh, who also goes by Tom Mchugh, is a registered financial professional currently at NEWEDGE SECURITIES, LLC located in St. Louis, Missouri.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2002. Thomas has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom Mchugh
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Peter Mchugh's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 1, 2012 - Present
NEWEDGE SECURITIES, LLC
Office #1: 10777 Sunset Hills Office Drive Suite 315b, St. Louis, MO 63127BD
CRD#: 10674
St. Louis, MO
Past
October 1, 2011 - April 30, 2012
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
GENEVA, IL
Past
July 13, 2010 - July 5, 2011
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
BOLINGBROOK, IL
Past
April 5, 2002 - September 30, 2011
SUNGARD INSTITUTIONAL BROKERAGE INC.
BD
CRD#: 8509
ST. LOUIS, MO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/10/2019)
RR
Colorado(10/22/2012)
RR
Georgia(2/18/2015)
RR
Idaho(3/6/2013)
RR
Illinois(6/4/2012)
RR
Indiana(6/4/2012)
RR
Iowa(8/1/2013)
RR
Kansas(8/20/2013)
RR
Kentucky(9/27/2012)
RR
Michigan(9/14/2012)
RR
Missouri(5/1/2012)
RR
New Hampshire(8/13/2015)
RR
New York(2/13/2014)
RR
Ohio(3/17/2015)
RR
Pennsylvania(10/22/2015)
RR
South Dakota(6/3/2013)
RR
Tennessee(8/6/2012)
RR
Virginia(12/11/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/31/2007
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NS
NEWEDGE SECURITIES, LLC
MID ATLANTIC CAPITAL CORPORATION | NEWEDGE SECURITIES, LLC | NEWEDGE SECURITIES, INC. | NEWEDGE SECURITIES LLC | MID ATLANTIC SECURITIES CORPORATION | MID ATLANTIC CAPITAL SECURITIES
CRD#: 10674 / SEC#: , 8-27663
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368
Mailing Address
1251 Waterfront Place Suite 510, Pittsburgh, PA 15222-6368
Phone number
(412) 391-7077
Established
Pennsylvania since 12/14/1981
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
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.
