Thomas F. Flynn
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 Francis Flynn was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1972. Thomas had worked at 24 firms and has passed the Series 63, SIE, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2010 - June 15, 2015
ATLANTIS INVESTMENT
July 8, 2004 - May 18, 2011
STEVEN L. FALK & ASSOCIATES INC.
August 9, 2002 - September 23, 2014
ROBERT A. STANGER & COMPANY, INC.
January 3, 2001 - August 22, 2001
NEWPORT CAPITAL, INC
December 23, 1996 - November 2, 2015
W.E. NIGHTINGALE BROKERAGE SERVICES, INC.
April 2, 1996 - February 21, 1997
VETIA, INC.
January 26, 1993 - October 20, 2000
T. KENNY & CO., INC.
April 16, 1992 - July 29, 2011
ACGM, INC.
February 10, 1992 - February 15, 2007
MCCONNELL, BUDD & ROMANO, INC.
February 4, 1992 - October 6, 2014
MITCHELL SECURITIES, INC.
February 14, 1991 - December 1, 2008
ATLANTIS INVESTMENT CO. INC.
April 3, 1989 - December 11, 1992
GRAY SEIFERT SECURITIES INC.
October 18, 1988 - November 18, 1997
FACTSET DATA SYSTEMS, INC.
December 10, 1985 - February 21, 2014
GOLDMAN CAPITAL MANAGEMENT, INC.
May 2, 1985 - March 16, 1988
GORDON CAPITAL INC.
March 21, 1983 - July 20, 1983
FIRST MONMOUTH SECURITIES CORP.
November 1, 1982 - October 20, 1988
BEARE BROTHERS & CO. INC.
October 6, 1982 - August 29, 1985
BROWN, KNAPP & COMPANY, INC.
January 31, 1982 - October 7, 1982
MID-STATE SECURITIES CORP.
March 7, 1979 - May 29, 1986
FACTSET DATA SYSTEMS, INC.
December 5, 1978 - January 8, 2015
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP.
August 4, 1978 - March 23, 1982
FITTIN, CUNNINGHAM & LAUZON, INC.
December 19, 1977 - April 10, 1992
SECURITIES RESOURCE, INC.
April 9, 1974 - September 30, 1977
ROTHSCHILD & CO US INC.
April 21, 1972 - August 2, 1973
FAULKNER, DAWKINS & SULLIVAN INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 4/13/1972
Registered Representative ExaminationF04
Date: 5/2/1974
Financial Principal ExaminationSeries 00
Date: 5/2/1974
General Securities Principal ExaminationCurrent Firm
ATLANTIS INVESTMENT
CRD#: 154486 / SEC#:
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Michigan | ERA - Withdrawn - Failed to Renew | 12/31/2020 |
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.
