Thomas Musmanno

MACKAY SHIELDS LLC

Princeton, NJ 08540

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CRD#: 2532838

Professional summary

Thomas Musmanno, who also goes by Thomas Fred Musmanno, is a registered financial advisor currently at MACKAY SHIELDS LLC located in Princeton, New Jersey and NYLIFE DISTRIBUTORS LLC located in Princeton, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Fred Musmanno

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 Mouse Creek Quilting Company LLC ; 2212 US Hwy 9S Howell, NJ; not investment related; Co-Owner; sell fabric for quilting and crafting; 5 hours per month not during normal business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Musmanno's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 11, 2025 - Present

MACKAY SHIELDS LLC

Office #1: 506 Carnegie Center Drive Suite 200, Princeton, NJ 08540

RIA

CRD#: 107717

Princeton, NJ

Current

May 1, 2021 - Present

NYLIFE DISTRIBUTORS LLC

Office #1: 506 Carnegie Center Drive Suite 200, Princeton, NJ 08540

CRD#: 35350

Princeton, NJ

Past

September 29, 2006 - September 30, 2009

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

November 16, 1994 - September 29, 2006

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MACKAY SHIELDS LLC

CRD#: 107717 / SEC#: 801-5594

RIA

Registered Investment Advisory firm - (4/11/1969 Approved)

Oklahoma

Registered Investment Advisory firm - (3/30/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(4/11/2025)

IAR

New Jersey
(4/11/2025)

New York
(4/11/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/10/2025

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/1/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/19/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MACKAY SHIELDS LLC

CRD#: 107717 / SEC#: 801-5594

RIA

Registered Investment Advisory firm - (4/11/1969 Approved)

Oklahoma

Registered Investment Advisory firm - (3/30/2006 Terminated)

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Contact information

Main Address

299 Park Avenue 32nd Floor, New York, NY 10171

Mailing Address

Phone number

(212) 758-5400

Established

Firm type

Fiscal year end

# of Employees

201

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MACKAY SHIELDS LLC ADV PART 2A BROCHURE 3.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	377
AUM (Assets Under Management)	$ 151,640,537,359

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2025	Cover Page	Report
10/28/2024	Cover Page	Report
07/28/2023	Cover Page	Report
10/28/2022	Cover Page	Report

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.

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Thomas Musmanno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Musmanno's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

BLACKROCK INVESTMENTS, LLC

FAM DISTRIBUTORS, INC.

Primary Firm SEC Registration

MACKAY SHIELDS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/10/2025

Series 7TO

Date: 5/1/2021

SIE

Date: 3/19/2021

Series 7

Date: 11/15/1994

FINRA

Current Firm

MACKAY SHIELDS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MACKAY SHIELDS LLC

TRUST BUT VERIFY

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