Thomas M. Mccusker
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.
Thomas Michael Mccusker was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 11 firms and has passed the Series 63, SIE, Series 79, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2013 - December 31, 2015
SOURCE CAPITAL GROUP, INC.
July 6, 2010 - March 16, 2011
NEWEDGE USA, LLC
August 20, 2008 - December 31, 2008
HFV INVESTMENTS, LLC
June 7, 2007 - February 4, 2008
ALPS DISTRIBUTORS, INC.
May 12, 2006 - October 27, 2006
NEWOAK CAPITAL MARKETS LLC
April 23, 1996 - May 9, 2006
MCMAHAN SECURITIES CO. L.P.
November 17, 1995 - April 15, 1996
MERIT CAPITAL ASSOCIATES, INC.
November 22, 1994 - September 27, 1995
UBS FINANCIAL SERVICES INC.
March 8, 1994 - August 23, 1994
CREDIT SUISSE SECURITIES (USA) LLC
June 10, 1993 - September 11, 1993
SAL EQUITY TRADING, GP
March 11, 1987 - March 22, 1988
CRESVALE INTERNATIONAL, 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 55
Date: 4/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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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