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TC

Thomas J. Curtin

MCCLURG CAPITAL
San Rafael, CA 94903
Some features on this profile are disabled
CRD#: 1908269
TC

Professional summary

Thomas Joseph Curtin SR, who also goes by Thomas Joseph Curtin, is a registered financial professional currently at MCCLURG CAPITAL CORPORATION located in San Rafael, California.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Joseph Curtin

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) - BD

Click below to view Thomas Joseph Curtin SR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

September 25, 2017 - Present

MCCLURG CAPITAL CORPORATION

Office #1: 950 Northgate Drive-suite 301, San Rafael, CA 94903
RIA
BD
CRD#: 16798
San Rafael, CA
Past

June 10, 1997 - September 29, 2017

WULFF, HANSEN & CO.

BD
CRD#: 908
SAN FRANCISCO, CA
Past

October 23, 1989 - June 9, 1997

SMITH CULVER INVESTMENTS

BD
CRD#: 24007
SAN FRANCISCO, CA
Past

September 13, 1989 - October 31, 1989

ACUMENT SECURITIES, INC.

BD
CRD#: 7661
SAN FRANCISCO, CA
Past

February 21, 1989 - August 22, 1989

LONDON ZURICH SECURITIES, INC.

BD
CRD#: 13542
Past

January 24, 1989 - March 2, 1989

SECURITIES USA, INC.

BD
CRD#: 14799
ENGLEWOOD, CO

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(2/25/2021)
RR
California
(9/25/2017)
RR
Oregon
(5/28/2020)
RR
Texas
(10/2/2025)
RR
Washington
(9/25/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MCCLURG CAPITAL CORPORATION
MCCLRUG CAPITAL CORPORATION | SMITH BELLINGHAM SECURITIES CORPORATION | MCCLURG CAPITAL CORPORATION

CRD#: 16798 / SEC#: , 8-34473

California
Registered Investment Advisory firm - SEC (12/11/2001 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
950 Northgate Drive-suite 301, San Rafael, CA 94903-3436
Mailing Address
950 Northgate Drive, Suite 301, San Rafael, CA 94903
Phone number
(415) 472-1445
Established
California since 06/25/1985
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
6

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
THE MCCLURG FAMILY TRUSTSHAREHOLDER
MCCLURG, DAVID GRANVILLEPRESIDENT/CHIEF COMPLIANCE OFFICER/TRUSTEE325690
MCCLURG, TRACY ANNEDIRECTOR/TRUSTEE1427909

Regulatory assets under management

Total Number of Accounts112
AUM (Assets Under Management)$ 92,881,550

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

MCCLURG CAPITAL CORPORATION

CRD#: 16798San Rafael, CA 94903

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