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Thomas F. Mann

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CRD#: 1624771
TM

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 Frederick Mann was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2005. Thomas had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 25, 2014 - April 2, 2018

MANAGED ACCOUNT SERVICES, LLC

BD
CRD#: 133803
MALVERN, PA
Past

August 3, 2005 - June 29, 2012

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/2/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/24/2006
General Securities Principal Examination

Current Firm

MA
MANAGED ACCOUNT SERVICES, LLC
MANAGED ACCOUNT SERVICES, LLC

CRD#: 133803 / SEC#: , 8-66783

BD
Terminated by SEC on 11/09/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CLEARBROOK, LLCOWNER
GILMORE, WALTER ALANCCO1996728
SMALLWOOD, EVAN MICHAELCEO4825348

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.

Company Information

MANAGED ACCOUNT SERVICES, LLC

CRD#: 133803

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