Thomas B. Fagan
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 B Fagan, who also goes by Thomas Blakeslee Fagan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2008 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 11, 2008 - January 11, 2021
TD AMERITRADE, INC.
September 8, 2008 - January 11, 2021
TD AMERITRADE, INC.
May 2, 2005 - September 17, 2008
CITIGROUP GLOBAL MARKETS INC.
December 4, 2003 - May 2, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - May 2, 2005
WELLS FARGO CLEARING SERVICES, LLC
November 18, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
May 24, 1996 - December 2, 1997
UBS FINANCIAL SERVICES INC.
February 27, 1995 - February 13, 1996
SHAWMUT BROKERAGE, INC.
March 28, 1994 - July 15, 1994
CONSECO SECURITIES, INC.
December 15, 1993 - March 28, 1994
SHAWMUT BROKERAGE, 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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
