Thomas Kearney
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 Kearney, who also goes by Tom Kearney, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 19 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2011 - June 5, 2012
SIGNATOR INVESTORS, INC.
July 14, 2010 - January 18, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 14, 2007 - August 25, 2008
PARK AVENUE SECURITIES LLC
March 2, 2007 - June 15, 2007
PARK AVENUE SECURITIES LLC
February 8, 2005 - February 17, 2005
FORESTERS EQUITY SERVICES, INC.
June 10, 2004 - October 4, 2004
QUICK & REILLY, INC.
November 19, 2003 - October 4, 2004
QUICK & REILLY, INC.
April 24, 2003 - May 20, 2003
STATE FARM VP MANAGEMENT CORP.
October 3, 2002 - October 23, 2002
FORESTERS EQUITY SERVICES, INC.
February 16, 2001 - September 11, 2002
UBS FINANCIAL SERVICES INC.
April 5, 1999 - February 26, 2001
A. G. EDWARDS & SONS, INC.
October 1, 1998 - May 3, 1999
BNY MELLON SECURITIES CORPORATION
June 25, 1997 - September 23, 1998
PRUDENTIAL EQUITY GROUP, LLC
April 29, 1996 - July 11, 1997
MORGAN STANLEY DW INC.
November 14, 1995 - February 27, 1996
ROYCE INVESTMENT GROUP, INC.
June 14, 1995 - September 1, 1995
ESSEX NATIONAL SECURITIES, LLC
October 11, 1994 - November 10, 1994
IFMG SECURITIES, INC.
April 7, 1994 - June 21, 1995
ROBERT W. BAIRD & CO. INCORPORATED
April 7, 1994 - June 21, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 18, 1993 - March 8, 1994
IFMG SECURITIES, INC.
May 24, 1993 - September 13, 1993
ROBERT W. BAIRD & CO. INCORPORATED
May 24, 1993 - September 13, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 18, 1992 - February 2, 1993
VP DISTRIBUTORS LLC
October 31, 1990 - March 27, 1992
VP DISTRIBUTORS LLC
August 15, 1989 - September 16, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
July 13, 1988 - May 11, 1989
ROBERT W. BAIRD & CO. INCORPORATED
July 13, 1988 - May 11, 1989
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 14, 1986 - April 20, 1987
NYLIFE SECURITIES LLC
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
Current Firm
SIGNATOR INVESTORS, INC.
CRD#: 468 / SEC#: 801-56298, 8-13995
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ARMSTRONG, ABIGAIL MARIE | VICE PRESIDENT, COUNSEL AND ASST SECRETARY | 1239945 |
| CAPPUCCIO, PAUL ANTHONY | ASSISTANT VICE PRESIDENT | 2151678 |
| COLLINS, BRIAN DOUGLAS | VICE PRESIDENT | 6445623 |
| DORVAL, STEVEN FRANCIS | DIRECTOR | 4163630 |
| HORACK, THOMAS JOSEPH | VP & DIRECTOR | 861315 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| KWONG-LOI, YIU | ASSISTANT SECRETARY | 6639555 |
| LANNIGAN, TRACY KANE | SECRETARY | 6944688 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT & DIRECTOR | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER & TREASURER | 4364402 |
| SCORPIO, CARON MARIE | ASSISTANT VICE PRESIDENT | 4275948 |
| SPADAFORA, CRAIG ALAN | DIRECTOR | 3184320 |
| TERRY, JOSEPH DEAN | CHIEF COMPLIANCE OFFICER & DIRECTOR | 4612910 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
| TUCKER, BRIAN THOMAS | ASSISTANT SECRETARY | 2285090 |
| VACON, MELISSA M | VICE PRESIDENT & DIRECTOR | 6189199 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 12 |
| Bond | 1 |
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.
