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MT

Maureen J. Thomas

Some features on this profile are disabled
CRD#: 2551497
MT

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.

Maureen Jude Thomas, who also goes by Maureen Hurley, was a registered financial professional .

Maureen is a previously registered financial professional and started their career in finance in 1995. Maureen had worked at 7 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maureen Hurley

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 18, 2012 - July 16, 2013

ESL INVESTMENT SERVICES, LLC

BD
CRD#: 139176
CANANDAIGUA, NY
Past

December 18, 2012 - August 2, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
NEWARK, NY
Past

January 25, 2012 - December 7, 2012

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
CLYDE, NY
Past

May 2, 2000 - July 27, 2001

COMMUNITY INVESTMENT SERVICES, INC.

BD
CRD#: 46332
OLEAN, NY
Past

June 6, 1997 - May 11, 1998

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

April 12, 1995 - September 1, 1995

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

April 12, 1995 - September 1, 1995

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/29/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 1/24/2012
Investment Company Products/Variable Contracts Representative Examination

Current Firm

EI
ESL INVESTMENT SERVICES, LLC
ESL INVESTMENT SERVICES, LLC

CRD#: 139176 / SEC#: , 8-67195

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
225 Chestnut Street, Rochester, NY 14604
Mailing Address
225 Chestnut Street, Rochester, NY 14604
Phone number
(585) 339-4475
Established
New York since 04/24/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ESL HOLDCO LLCOWNER
DONAHOE, JOELLE LAURENCCO, AMLCO AND COMPLIANCE MANAGER2678810
IACOBELLI, LEOPRESIDENT/COO/EXECUTIVE REP1717602
ROCHE, PASCAL AFINOP/ PFO/ POO5920968

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.

Company Information

ESL INVESTMENT SERVICES, LLC

CRD#: 139176

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