Thomas J. Scallon
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 John Scallon, who also goes by Thomas J Scallon, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 6 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
July 24, 2018 - April 17, 2020
SECURITIES RESEARCH, INC. OF FLORIDA
June 11, 2018 - December 12, 2022
SECURITIES RESEARCH, INC. OF FLORIDA
January 5, 2018 - March 15, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 5, 2010 - November 16, 2017
EQUITABLE ADVISORS, LLC
June 11, 2008 - November 16, 2017
EQUITABLE ADVISORS, LLC
April 23, 2007 - June 23, 2008
ONEAMERICA SECURITIES, INC.
October 22, 2004 - April 25, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 27, 2003 - August 5, 2004
VP DISTRIBUTORS LLC
August 22, 2002 - August 29, 2003
WS GRIFFITH SECURITIES, INC.
August 27, 1998 - August 14, 2002
MONY SECURITIES CORPORATION
September 4, 1990 - September 16, 1998
NEW ENGLAND SECURITIES
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
SECURITIES RESEARCH, INC. OF FLORIDA
CRD#: 6516 / SEC#: , 8-23699
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 14,823,000 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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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