Thomas C. Callahan
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 C Callahan, who also goes by Thomas Curran Callahan, Tom Callahan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - May 13, 2019
NUVEEN SECURITIES, LLC
January 26, 2009 - December 31, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
August 7, 2003 - November 13, 2008
DEAM INVESTOR SERVICES, INC.
May 19, 2000 - May 22, 2003
ALLIANCEBERNSTEIN INVESTMENTS, INC.
January 1, 1999 - April 26, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 8, 1995 - September 11, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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