Thomas J. Mackell
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 James Mackell III, who also goes by Thomas James Mackell, Tom Mackell III, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 11 firms and has passed the 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
November 10, 2016 - April 12, 2017
ANOS CAPITAL, LLC
October 21, 2016 - November 9, 2016
ABEL/NOSER CORP.
November 24, 2014 - October 5, 2015
KELSON CAPITAL LLC
January 2, 2007 - July 10, 2014
COWEN EXECUTION SERVICES LLC
January 14, 2000 - January 2, 2007
LYNCH, JONES & RYAN LLC
February 5, 1999 - January 14, 2000
IST INSTITUTIONAL SECURITIES TRADING
September 15, 1997 - December 14, 1998
VALORES FINAMEX INTERNATIONAL, INC.
February 7, 1997 - September 5, 1997
EXCO RMJ INTERNATIONAL INC.
March 5, 1996 - September 5, 1997
INTERCAPITAL GOVERNMENT SECURITIES INC.
March 16, 1995 - February 21, 1996
TFS DERIVATIVES LLC
October 17, 1994 - March 14, 1995
CITIGROUP GLOBAL MARKETS 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
ANOS CAPITAL, LLC
CRD#: 284714 / SEC#: , 8-69809
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANOS HOLDINGS, LLC | OWNER | |
| DALLAL, JEFFREY HARON | PRESIDENT/CHIEF OPERATING OFFICER | 2316096 |
| DANIELE, EDWARD ROBERT | CHIEF COMPLIANCE OFFICER/AML OFFICER | 1224878 |
| EMMERICH, CLIFFORD GENNARO | SENIOR MANAGING DIRECTOR HEAD OF SALES AND TRADING | 2412767 |
| IANNUCCI, MICHAEL CHRISTOPHER | IA TRANSITION MANAGEMENT | 4709972 |
| PAPATSOS, JOHN NICK | FINOP | 4416912 |
| RIVELLI, DOUGLAS DUVALL | CHIEF EXECUTIVE OFFICER | 2174199 |
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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