Thomas E. Hassen
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 Edward Hassen was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 8 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2011 - August 4, 2016
MACQUARIE CAPITAL (USA) INC.
October 28, 2005 - October 7, 2008
J.P. MORGAN SECURITIES LLC
November 3, 2000 - September 27, 2002
PERSHING LLC
March 20, 1998 - March 1, 2005
CREDIT SUISSE SECURITIES (USA) LLC
February 27, 1980 - March 16, 1998
MORGAN STANLEY & CO. LLC
September 19, 1979 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
June 5, 1974 - August 3, 1979
DEUTSCHE BANK SECURITIES INC.
June 10, 1970 - April 28, 1974
C S MCKEE & COMPANY 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: 8/5/1965
Registered Representative ExaminationCurrent Firm
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368 / SEC#: , 8-47198
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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