Thomas Scott Mccauley
Professional Summary
Thomas Scott Mccauley is a registered financial advisor currently at TJM INVESTMENTS, LLC located in New York, New York. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 3 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
MND PARTNERS | TJM SECURITIES, LLC | TJM INVESTMENTS, LLC
Contact Information
Main Address
318 W. Adams Street Suite 900, Chicago, IL 60606Mailing Address
318 W. Adams Street 9th Floor, Chicago, IL 60606Phone Number
(312) 432-5100Established
Illinois since 10/13/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (34 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | — |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, PATRICK GERARD | MANAGING DIRECTOR | 5650034 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| WARD, BARRY DANIEL | MANAGING DIRECTOR | 1584523 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Scott Mccauley's CRS (Customer Relationship Summary).
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