Terence B. Flynn

HOULIHAN LOKEY CAPITAL

NEW YORK, NY 10167

Some features on this profile are disabled

CRD#: 2058671

Professional summary

Terence Brian Flynn, who also goes by Tad Flynn, is a registered financial professional currently at HOULIHAN LOKEY CAPITAL, INC. located in New York, New York.

Terence is registered as a RR (Registered Representative) and started their career in finance in 1990. Terence has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tad Flynn

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 Terence Brian Flynn's 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

April 24, 2009 - Present

HOULIHAN LOKEY CAPITAL, INC.

Office #1: 245 Park Avenue 20th Floor, New York, NY 10167

CRD#: 17708

NEW YORK, NY

Past

October 8, 2001 - November 6, 2008

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

April 8, 1993 - May 12, 1997

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

May 29, 1990 - April 7, 1993

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

State Registrations and Notice Filings

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

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

California
(4/21/2011)

District of Columbia
(4/25/2011)

Florida
(4/21/2011)

Massachusetts
(4/21/2011)

New Hampshire
(4/28/2011)

New Jersey
(4/25/2011)

New York
(4/27/2009)

Vermont
(4/25/2011)

Exams

State Security Law Exam

Series 63

Date: 8/7/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/5/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/6/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/7/1996

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708 / SEC#: , 8-35643

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Mailing Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Phone number

(310) 553-8871

Established

California since 01/09/1996

Firm type

Corporation

Fiscal year end

March

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC	DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC.
ADELSON, SCOTT JOSEPH	PRESIDENT/CEO AND DIRECTOR (HLI)	2147111
ALLEY, JAMES LINDSEY	TREASURER/CHIEF FINANCIAL OFFICER (HLI)	2394515
BEISER, SCOTT LEE	VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI)	2026185
BEN-CANAAN, MARC AVI	CCO/AMLCO	4885345
CRAIN, CHRISTOPHER MADISON	SECRETARY/GENERAL COUNSEL
TANIGUCHI, EDWARD NEAL	CHIEF FINANCIAL OFFICER, FINOP	4632869
YAMARONE, CHARLES ANTHONY III	CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI	2190400

Disclosures

Regulatory Event

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Terence B. Flynn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Terence Brian Flynn's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS SECURITIES LLC

SALOMON BROTHERS INC.

DB ALEX. BROWN LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/7/2001

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/5/2001

Series 24

Date: 3/6/2007

Series 4

Date: 6/7/1996

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HOULIHAN LOKEY CAPITAL, INC.

TRUST BUT VERIFY

Similar Advisors