Thomas M. Harrigan
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 Michael Harrigan was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 1990 - April 27, 2021
BUELL SECURITIES CORP.
December 5, 1989 - November 14, 1990
GLOBAL CAPITAL SECURITIES, INC.
October 25, 1989 - December 11, 1989
LEGEND MERCHANT GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/27/2003
Limited Representative-Equity Trader ExamCurrent Firm
BUELL SECURITIES CORP.
CRD#: 1342 / SEC#: , 8-22058
Contact information
FINRA licenses (21 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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