Thomas J. Hanlon
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 Joseph Hanlon was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 12 firms and has passed the Series 63, Series 000, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 1992 - July 28, 1992
W.H. FARR & COMPANY, INC.
April 12, 1990 - February 6, 1991
THE WINDMILL GROUP, INC.
June 21, 1988 - May 4, 1989
WALL STREET EQUITIES INCORPORATED
December 23, 1986 - June 10, 1991
GREELEY SECURITIES, INC.
February 13, 1986 - July 8, 1987
YVES HENTIC & COMPANY INCORPORATED
March 27, 1979 - November 11, 1985
BAIRD, PATRICK & CO., INC.
May 18, 1978 - February 27, 1979
ADVEST, INC.
January 5, 1976 - May 30, 1978
E. F. HUTTON & COMPANY INC
May 13, 1975 - April 15, 1976
G A SAXTON & CO
July 8, 1974 - July 20, 1975
JOHN MUIR & CO.
December 23, 1971 - July 11, 1974
TUCKER ANTHONY INCORPORATED
April 17, 1970 - January 4, 1972
PURCELL GRAHAM 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 000
Date: 8/9/1968
General Securities Principal ExaminationSeries 1
Date: 8/9/1968
Registered Representative ExaminationSeries 12
Date: 8/15/1981
NYSE Branch Manager ExaminationCurrent Firm
W.H. FARR & COMPANY, INC.
CRD#: 25810 / SEC#: , 8-41838
Contact information
Documents
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.
