Thomas J. 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 J Hogan, who also goes by Thomas Joseph Hogan III, Thomas Joseph Hogan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1969. Thomas had worked at 12 firms and has passed the Series 63, SIE, PC, Series 5, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2012 - April 11, 2019
MESIROW FINANCIAL, INC.
March 7, 2011 - May 14, 2012
MUFG SECURITIES AMERICAS INC.
April 24, 2006 - March 8, 2011
CANTOR FITZGERALD & CO.
June 4, 2003 - May 4, 2006
ROBERT W. BAIRD & CO. INCORPORATED
July 16, 2001 - June 9, 2003
BNP PARIBAS SECURITIES CORP.
March 10, 1999 - January 10, 2001
J.P. MORGAN SECURITIES INC.
May 25, 1995 - March 2, 1999
JPMSI
March 9, 1993 - February 22, 1995
MERRION SECURITIES, LLC
January 1, 1990 - February 10, 1993
JPMSI
March 3, 1987 - June 3, 1989
LEHMAN BROTHERS INC.
August 5, 1976 - February 18, 1987
SALOMON BROTHERS INC.
October 6, 1971 - August 26, 1976
AMERICAN SECURITIES BD CO., L.P.
May 6, 1969 - November 4, 1971
BUTCHER & SHERRERD
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
PC
Date: 11/15/1982
AMEX Put and Call ExamSeries 5
Date: 6/25/1982
Interest Rate Options ExaminationSeries 1
Date: 4/21/1969
Registered Representative ExaminationSeries 40
Date: 7/15/1974
Registered Principal ExaminationCurrent Firm
MESIROW FINANCIAL, INC.
CRD#: 2764 / SEC#: , 8-28816
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MESIROW FINANCIAL HOLDINGS, INC. | MAJORITY SHAREHOLDER | |
| MESIROW FINANCIAL SERVICES, INC. | MINORITY SHAREHOLDER | |
| PRICE, RICHARD SCOTT | DIRECTOR | 367760 |
| FARR, CHRISTOPHER DAYNE | CFO | 3239925 |
| HAYES, MARY JO MOON | CHIEF COMPLIANCE OFFICER | 1196353 |
| JACOBSON, STEPHEN DAVID | SENIOR MANAGING DIRECTOR | 1353790 |
| KEIG, JESSE JOSEPH | DIRECTOR | 5268961 |
| LEVINE, JEFFREY MICHAEL | CEO/PRESIDENT | 5627249 |
| OAKLEY, ADAM JOEL | SENIOR MANAGING DIRECTOR, INVESTMENT BANKING | 4795934 |
| PRICE, BRIAN DAVID | CHAIRMAN, INVESTMENT BANKING DIVISION | 5192466 |
| WALDROP, TODD E. | SENIOR MANAGING DIRECTOR | 4194147 |
Disclosures
| Regulatory Event | 18 |
| Civil Event | 1 |
| Bond | 2 |
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.
