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TF

Thomas A. Flannery

LARRAINVIAL SECURITIES US LLC
Las Condes, Santiago, 7550177
Some features on this profile are disabled
CRD#: 2149683
TF

Professional summary

Thomas Arthur Flannery, who also goes by Thomas A Flannery, is a registered financial professional currently at LARRAINVIAL SECURITIES US LLC .

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1991. Thomas has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas A Flannery

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 Arthur Flannery'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

May 14, 2018 - Present

LARRAINVIAL SECURITIES US LLC

Office #1: El Bosque Norte 0177, Las Condes, Santiago 7550177
BD
CRD#: 152424
Las Condes, Santiago,
Past

December 21, 2009 - June 8, 2016

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
NEW YORK, NY
Past

December 21, 2009 - June 8, 2016

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

July 23, 2008 - December 17, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 20, 2004 - July 9, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

November 20, 2000 - July 9, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 10, 2000 - November 9, 2000

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

May 8, 1999 - October 10, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

April 11, 1996 - May 6, 1999

SANTANDER INVESTMENT SECURITIES INC.

BD
CRD#: 37216
NEW YORK, NY
Past

June 19, 1991 - January 26, 1996

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

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
California
(12/13/2019)
RR
Colorado
(12/4/2019)
RR
Florida
(10/14/2025)
RR
New York
(5/14/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/30/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/27/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/18/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/26/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LARRAINVIAL SECURITIES US LLC
LARRAINVIAL SECURITIES US LLC

CRD#: 152424 / SEC#: , 8-68452

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

Main Address
El Bosque Norte 0177, Las Condes Santiago 7550100
Mailing Address
400 Madison Avenue Suite 5c, New York, NY 10017
Phone number
562 2339-8562
Established
Delaware since 11/02/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LARRAIN VIAL SPAMANAGING MEMBER
CHIN, PHYLLIS NYUK FAHFINOP6250921
LARRAIN, CLAUDIO PATRICIOCEO5742665
MATTIELLI, LOUIS DOMENICCHIEF COMPLIANCE OFFICER1074096
SKINNER, LUIS FRANCISCOCO-CCO5742669

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

LARRAINVIAL SECURITIES US LLC

CRD#: 152424Las Condes, Santiago 7550177

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