Thomas J. Shanahan

HAESE FINANCIAL GROUP

JACKSON, WI 53037

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CRD#: 1380187

Professional summary

Thomas Joseph Shanahan is a registered financial advisor currently at HAESE FINANCIAL GROUP INC located in Jackson, Wisconsin and SUPERIOR FINANCIAL SERVICES,INC. located in Jackson, Wisconsin.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

WORKS CONCURRENTLY AS A RIA REPRESENTATIVE WITH HAESE FINANCIAL GROUP, INC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Shanahan'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

August 13, 2001 - Present

HAESE FINANCIAL GROUP INC

Office #1: N168 W21931 Main Street Po Box 139, Jackson, WI 53037

RIA

CRD#: 108980

JACKSON, WI

Current

July 30, 2001 - Present

SUPERIOR FINANCIAL SERVICES,INC.

Office #1: N168 W21931 Main St Po Box 139, Jackson, WI 53037

CRD#: 104165

Jackson, WI

Past

May 1, 1998 - July 27, 2001

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

BLOOMINGTON, IL

Past

March 30, 1998 - April 21, 1998

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

Past

May 25, 1988 - April 27, 1998

AMERICAN BEACON PARTNERS, INC.

CRD#: 15791

EAU CLAIRE, WI

Past

February 20, 1986 - May 30, 1986

BOSTON FINANCIAL SECURITIES, INC.

CRD#: 6697

Past

July 24, 1985 - December 17, 1985

WINTHROP SECURITIES CO., INC.

CRD#: 6925

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Wisconsin
(7/30/2001)

IAR

Wisconsin
(8/13/2001)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/24/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HAESE FINANCIAL GROUP INC

CRD#: 108980 / SEC#: 801-57602

RIA

Registered Investment Advisory firm - (3/15/2004 Terminated)

Georgia

Registered Investment Advisory firm - (5/13/2011 Approved)

Illinois

Registered Investment Advisory firm - (5/16/2017 Approved)

Wisconsin

Registered Investment Advisory firm - (3/15/2004 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

N168 W21931 Main Street, Jackson, WI 53037

Mailing Address

Po Box 139, Jackson, WI 53037

Phone number

(262) 677-8106

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Advisor Monitoring

Firm Stability Insights

Thomas J. Shanahan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Shanahan's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUPERIOR FINANCIAL SERVICES,INC.

FIRST MIDWEST SECURITIES, INC.

FIRST MIDWEST SECURITIES, INC.

AMERICAN BEACON PARTNERS, INC.

BOSTON FINANCIAL SECURITIES, INC.

WINTHROP SECURITIES CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/24/1999

Series 63

Date: 6/19/1985

SIE

Date: 10/1/2018

Series 7

Date: 7/20/1985

FINRA

Current Firm

HAESE FINANCIAL GROUP INC

Contact information

Documents

Red Flags

Company Information

HAESE FINANCIAL GROUP INC

TRUST BUT VERIFY

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