Thomas J. Flynn
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 Flynn, who also goes by Tim Flynn, Tom Flynn, 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 65, Series 63, SIE, Series 62 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
June 21, 2019 - November 11, 2020
FIRST CITIZENS INVESTOR SERVICES, INC.
June 20, 2019 - November 11, 2020
FIRST CITIZENS INVESTOR SERVICES, INC.
February 14, 2018 - June 19, 2019
LPL FINANCIAL LLC
February 14, 2018 - June 19, 2019
LPL FINANCIAL LLC
November 17, 2011 - February 14, 2018
INVEST FINANCIAL CORPORATION
November 2, 2011 - February 14, 2018
INVEST FINANCIAL CORPORATION
January 27, 2004 - November 15, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 2, 2004 - November 15, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
February 8, 1997 - December 31, 2003
VSR FINANCIAL SERVICES, INC.
December 23, 1996 - January 23, 1997
IFG NETWORK SECURITIES, INC.
September 7, 1995 - December 11, 1996
BUCKHEAD FINANCIAL CORPORATION
November 14, 1994 - August 31, 1995
WOODBURY FINANCIAL SERVICES, INC.
February 13, 1989 - October 12, 1994
GUARDIAN INVESTOR SERVICES LLC
December 8, 1988 - December 31, 1988
CADARET, GRANT & CO., INC.
November 6, 1987 - November 22, 1988
FOCUS SECURITIES, INC.
Primary Firm SEC Registration
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
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 62
Date: 11/15/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST-CITIZENS BANK & TRUST COMPANY | 100% OWNER | |
| BILITER, DAVID LEE | DIRECTOR, PRESIDENT | 1690995 |
| CECE, MARY | SECRETARY | 2135583 |
| LONGEST, MICHAEL LEE | DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY | 6692593 |
| MARRONE, MARK STEPHEN | CHIEF COMPLIANCE OFFICER | 1987907 |
| MCCALLUM, CHARLES FALCONER III | DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE | 2697260 |
| WALSH, WILLIAM JAMES | DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR | 4883580 |
| WILSON, MICHAEL CHRISTOPHER | DIRECTOR, WEALTH MANAGEMENT EXECUTIVE | 4301352 |
Regulatory assets under management
| Total Number of Accounts | 6,706 |
| AUM (Assets Under Management) | $ 2,098,769,026 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 |
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.
