Thomas R. Cafferty

FHN FINANCIAL SECURITIES

Lisle, IL 60532

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CRD#: 1372597

Professional summary

Thomas Richard Cafferty JR, who also goes by Thomas R Cafferty, is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Lisle, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 5 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas R Cafferty

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Richard Cafferty JR'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®

None

Experience

Current

February 1, 2001 - Present

FHN FINANCIAL SECURITIES CORP.

Office #1: 3333 Warrenville Road Suite 760, Lisle, IL 60532

CRD#: 46346

Lisle, IL

Past

November 11, 1994 - January 2, 1996

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

December 5, 1988 - November 28, 1994

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

July 28, 1987 - April 7, 1990

DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.

CRD#: 19727

Past

February 24, 1987 - May 19, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Illinois
(2/1/2001)

Indiana
(2/1/2001)

Nevada
(12/5/2012)

Wisconsin
(10/30/2017)

Exams

State Security Law Exam

Series 63

Date: 5/13/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/24/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FHN FINANCIAL SECURITIES CORP.

FHN FINANCIAL SECURITIES CORP. | MIDWEST RESEARCH FIRST TENNESSEE SECURITIES CORP. | FTN FINANCIAL SECURITIES CORP | FIRST TENNESSEE SECURITIES CORPORATION | FIRST TENNESSEE SECURITIES CORP.

CRD#: 46346 / SEC#: , 8-51393

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

Mailing Address

1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

Phone number

(901) 435-8080

Established

Tennessee since 10/30/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FIRST HORIZON BANK	SHAREHOLDER
BUCK, WILLIAM JAMES II	PRINCIPAL OPERATING OFFICER	3129662
DABROWSKI, MARK GERARD	CHIEF COMPLIANCE OFFICER	2065647
GRIFFIN, MARK DANIEL	SVP, RISK CONTROL MANAGER	7462222
JACKSON, JEFF BRIAN	SVP/ TRADING MANAGER	2777631
RITCHESON, DONALD ALLEN	PRINCIPAL FINANCIAL OFFICER / CFO	2360009
ROMANOW, TIMOTHY MARK	PRESIDENT/CEO	2533445
WADDELL, MICHAEL KNOX	EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY	5657529

Disclosures

Regulatory Event	7
Arbitration	1

Red Flags

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Firm Stability Insights

Thomas R. Cafferty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Richard Cafferty JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ABN AMRO INCORPORATED

LASALLE FINANCIAL SERVICES, INC.

DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/13/2002

Series 52TO

Date: 9/24/2025

SIE

Date: 10/1/2018

Series 7

Date: 2/21/1987

FINRA

Current Firm

FHN FINANCIAL SECURITIES CORP.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FHN FINANCIAL SECURITIES CORP.

TRUST BUT VERIFY

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