Thomas J. Mooney
Professional summary
Thomas Joseph Mooney, who also goes by Tom Mooney, is a registered financial professional currently at STONEX SECURITIES INC. located in Orland Park, Illinois.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Mooney's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2014 - Present
STONEX SECURITIES INC.
January 30, 2015 - December 31, 2015
STONEX ADVISORS INC.
February 24, 2014 - January 30, 2015
WRP INVESTMENTS, INC.
January 4, 2010 - September 12, 2014
WRP INVESTMENTS, INC.
September 8, 2009 - December 31, 2009
LPL FINANCIAL LLC
April 13, 2004 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
July 11, 2001 - April 14, 2004
MAIN STREET MANAGEMENT COMPANY
March 25, 1996 - July 27, 2001
CETERA WEALTH SERVICES, LLC
January 20, 1996 - March 22, 1996
VOYA FINANCIAL ADVISORS, INC.
April 21, 1992 - August 16, 1995
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/16/2018)
(9/12/2014)
(9/12/2014)
(9/12/2014)
(9/12/2014)
(9/12/2014)
(9/12/2014)
(11/12/2018)
(9/12/2014)
Exams
FINRA
Current Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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