Luke M. Scanlon
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.
Luke Matthew Scanlon was a registered financial professional .
Luke is a previously registered financial professional and started their career in finance in 1986. Luke had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2013 - March 2, 2018
TJM INVESTMENTS, LLC
August 17, 2010 - April 8, 2013
MND PARTNERS, INC.
October 22, 2007 - August 17, 2010
KCCI, LTD.
May 25, 2007 - October 31, 2007
MACK TRADING LLC
March 27, 1998 - June 8, 2007
PIPER SANDLER & CO.
June 13, 1991 - January 21, 1998
GLEACHER & COMPANY SECURITIES, INC.
September 11, 1990 - May 8, 1991
MURIEL SIEBERT & CO., LLC
March 9, 1989 - May 23, 1990
GALLAGHER EQUITIES, INC.
August 29, 1986 - November 19, 1986
THE STUART-JAMES COMPANY, INCORPORATED
May 20, 1986 - August 15, 1986
GALLAGHER EQUITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 12
Date: 1/21/2005
NYSE Branch Manager ExaminationCurrent Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
Disclosures
| Regulatory Event | 12 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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