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TD

Thomas V. Dolan

Some features on this profile are disabled
CRD#: 2092675
TD

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 Vincent Dolan, who also goes by Tom Dolan, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 11 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Dolan

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)

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

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

Past

October 8, 2014 - January 20, 2016

MANORHAVEN CAPITAL LLC

BD
CRD#: 44965
NEW YORK, NY
Past

July 12, 2012 - October 19, 2012

NAVIGATE ADVISORS

BD
CRD#: 128143
STAMFORD, CT
Past

October 27, 2008 - May 7, 2009

JEFFERIES LLC

BD
CRD#: 2347
STAMFORD, CT
Past

April 1, 2002 - March 2, 2007

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

February 14, 2001 - April 3, 2002

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

August 25, 1999 - January 8, 2001

E*TRADE GLOBAL ASSET MANAGEMENT, INC.

BD
CRD#: 42890
ARLINGTON, VA
Past

October 14, 1997 - May 4, 1999

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

May 15, 1995 - April 17, 1997

MORGAN STANLEY MARKET PRODUCTS INC.

BD
CRD#: 19794
NEW YORK, NY
Past

May 8, 1995 - April 17, 1997

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

March 24, 1992 - June 27, 1995

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

October 30, 1990 - March 12, 1992

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/20/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/10/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/29/1990
General Securities Representative Examination

Current Firm

MC
MANORHAVEN CAPITAL LLC
BENGAL PARTNERS LLC | MANORHAVEN CAPITAL LLC

CRD#: 44965 / SEC#: , 8-50911

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
120 Wall Street 25th Floor, New York, NY 10005
Mailing Address
120 Wall Street 25th Floor, New York, NY 10005
Phone number
(646) 230-1050
Established
Delaware since 03/04/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MANORHAVEN HOLDINGS, LLCOWNER
FULVIO, GENNARO JOHNFINOP & FINANCIAL OFFICER2435828
MARANS, ZACHARYPRESIDENT & CEO5946567
TAYLOR, TRACY DONALDCHIEF COMPLIANCE OFFICER1257628

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

MANORHAVEN CAPITAL LLC

CRD#: 44965

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