Thomas E. Hogan
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 Hogan, who also goes by Thomas E Hogan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2007 - June 16, 2015
SPC
June 5, 1989 - June 16, 2015
SIGMA FINANCIAL CORPORATION
March 10, 1987 - June 21, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 13, 1984 - March 18, 1987
SIGMA FINANCIAL CORPORATION
July 31, 1984 - December 13, 1984
MUTUAL SERVICE CORPORATION
March 17, 1983 - August 10, 1984
WS GRIFFITH SECURITIES, INC.
February 25, 1974 - August 10, 1984
HOME LIFE INSURANCE COMPANY
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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: 2/20/1974
Registered Representative ExaminationCurrent Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
