Thomas W. Eagan
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 William Eagan, who also goes by Thomas W Eagan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2014 - January 17, 2018
TELSEY ADVISORY GROUP LLC
October 1, 2013 - April 8, 2014
NORTHLAND SECURITIES, INC.
March 27, 2012 - January 11, 2013
CANACCORD GENUITY LLC
April 8, 2008 - September 26, 2012
CANACCORD GENUITY SECURITIES LLC
March 19, 2003 - January 15, 2008
OPPENHEIMER & CO. INC.
November 3, 2000 - January 18, 2002
UBS SECURITIES LLC
June 9, 1995 - November 3, 2000
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
TELSEY ADVISORY GROUP LLC
CRD#: 148234 / SEC#: , 8-67988
Contact information
FINRA licenses (19 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.
