Joseph M. Mahoney

Some features on this profile are disabled

CRD#: 1683135

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.

Joseph Merrell Mahoney, who also goes by Jay Mahoney, Mahoney, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jay Mahoney | Mahoney

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

February 15, 2018 - May 15, 2020

TOBIN & COMPANY SECURITIES LLC

CRD#: 137918

CHARLOTTE, NC

Past

May 3, 2017 - August 14, 2017

FIRST TRYON SECURITIES, LLC

CRD#: 7336

CHARLOTTE, NC

Past

March 12, 2007 - July 8, 2016

FIRST WINSTON SECURITIES, INC.

CRD#: 21538

WINSTON-SALEM, NC

Past

November 27, 2000 - May 6, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

April 1, 1999 - November 6, 2000

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

June 1, 1998 - April 1, 1999

WACHOVIA CAPITAL MARKETS, INC.

CRD#: 44964

WINSTON SALEM, NC

Past

April 4, 1997 - June 1, 1998

WACHOVIA BROKERAGE SERVICE

CRD#: 17503

WINSTON SALEM, NC

Past

July 25, 1989 - December 31, 1993

WACHOVIA BROKERAGE SERVICE

CRD#: 17503

WINSTON SALEM, NC

Past

July 22, 1987 - June 13, 1988

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Past

July 22, 1987 - June 14, 1988

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

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

Series 63

Date: 7/1/1997

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: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/26/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/23/1999

General Securities Sales Supervisor - Options Module Examination

Current Firm

TOBIN & COMPANY SECURITIES LLC

TOBIN & COMPANY SECURITIES LLC | TOBIN SOLITARIO SECURITIES LLC | TOBIN ADVISORS LLC | TOBIN ADVISORS II LLC

CRD#: 137918 / SEC#: , 8-67134

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

101 South Tryon Street Suite 2700, Charlotte, NC 28280

Mailing Address

P.o. Box 30486, Charlotte, NC 28230

Phone number

(704) 334-2772

Established

North Carolina since 05/12/2005

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TOBIN & COMPANY INVESTMENT BANKING GROUP LLC	PARENT COMPANY
TOBIN, JUSTINE EIDT	CHIEF COMPLIANCE OFFICER	1641345

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph M. Mahoney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST TRYON SECURITIES, LLC

FIRST WINSTON SECURITIES, INC.

LEGG MASON WOOD WALKER, INCORPORATED

WACHOVIA SECURITIES, INC.

WACHOVIA CAPITAL MARKETS, INC.

WACHOVIA BROKERAGE SERVICE

WACHOVIA BROKERAGE SERVICE

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/1/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

Series 10

Date: 8/26/1999

Series 9

Date: 8/23/1999

Current Firm

TOBIN & COMPANY SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TOBIN & COMPANY SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors