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Thomas Clark Munnell

CRD# 1819860·Registered 1989 - 1992
Previously Registered: Being a previously registered professional could mean that Thomas 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.

Professional Summary

Thomas Clark Munnell, who also goes by Thomas C Munnell, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1989 - 1992. Thomas had worked at 2 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Thomas C Munnell

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

38 years in the financial services industry

Current & Past Employments

CORPORATE FINANCE INTERNATIONAL, INC.·CRD# 25204
BD
Boston, MA
November 10, 1989 - December 24, 1992
ALANTRA, LLC·CRD# 22095
BD
Boston, MA
March 27, 1989 - April 22, 2014

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Current Firm

CF
CORPORATE FINANCE INTERNATIONAL, INC.

CORPORATE FINANCE INTERNATIONAL, INC.

CRD#: 25204 / SEC#: 8-41617
BD
Terminated by SEC on 05/28/1993

Contact Information

Established

Delaware since 02/28/1989

Firm Type

Corporation

Fiscal Year End

March

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1988About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1988About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 1988About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Sep 1988About the Series 27 exam

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CRS (Client Relationship Summary)

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

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