Thomas K. Flanagan
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 Kevin Flanagan, who also goes by Thomas K. Flanagan, Thomas Flanagan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2008 - March 28, 2019
STONE HARBOR INVESTMENT PARTNERS, LLC
October 12, 2007 - January 25, 2019
ALPS DISTRIBUTORS, INC.
December 1, 2005 - April 6, 2006
FRANKLIN DISTRIBUTORS, LLC
September 1, 1998 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
April 28, 1995 - September 1, 1998
SALOMON BROTHERS INC.
September 28, 1993 - April 19, 2006
SALOMON BROTHERS ASSET MANAGEMENT INC
June 12, 1992 - September 1, 1998
SALOMON BROTHERS 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
Current Firm
STONE HARBOR INVESTMENT PARTNERS, LLC
CRD#: 138960 / SEC#: 801-65397
Contact information
Regulatory assets under management
| Total Number of Accounts | 72 |
| AUM (Assets Under Management) | $ 14,977,980,000 |
Red Flags
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