Thomas J. Houlihan
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 John Houlihan, who also goes by Thomas Houlihan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2010 - July 18, 2017
ANKURA CAPITAL ADVISORS, LLC
April 19, 2005 - July 31, 2009
ANKURA CAPITAL ADVISORS, LLC
October 28, 2003 - October 28, 2003
&PARTNERS
February 19, 1997 - July 30, 1998
J.C. BRADFORD & CO.
January 1, 1995 - July 26, 1995
&PARTNERS
November 14, 1994 - December 13, 1994
EDWARD JONES
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
ANKURA CAPITAL ADVISORS, LLC
CRD#: 114155 / SEC#: , 8-53403
Contact information
FINRA licenses (50 States and Territories)
Documents
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.
