Thomas J. Kilkenny
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 James Kilkenny, who also goes by Thomas James Kilkenny Jr., was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 20 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2017 - July 31, 2017
SCOTTRADE INVESTMENT MANAGEMENT
November 15, 2016 - July 31, 2017
SCOTTRADE, INC.
November 7, 2014 - February 26, 2016
CUNA BROKERAGE SERVICES, INC.
November 4, 2014 - February 26, 2016
CUNA BROKERAGE SERVICES, INC.
June 30, 2014 - September 10, 2014
ESSEX NATIONAL SECURITIES, LLC
June 30, 2014 - September 10, 2014
ESSEX NATIONAL SECURITIES, LLC
April 23, 2013 - May 6, 2014
CAPITAL ONE FINANCIAL ADVISORS LLC
April 18, 2013 - May 6, 2014
CAPITAL ONE INVESTMENT SERVICES LLC
July 23, 2012 - March 26, 2013
KLEIN FINANCIAL SERVICES
February 7, 2012 - July 31, 2012
TD AMERITRADE, INC.
February 7, 2012 - July 31, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 7, 2011 - July 31, 2012
TD AMERITRADE, INC.
November 13, 2009 - November 22, 2011
KEY INVESTMENT SERVICES LLC
June 28, 2007 - October 19, 2009
CHARLES SCHWAB & CO., INC.
October 30, 2006 - June 29, 2007
CITIZENS SECURITIES, INC.
January 1, 2005 - October 13, 2006
HSBC SECURITIES (USA) INC.
September 27, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
December 9, 2003 - September 10, 2004
QUICK & REILLY, INC.
July 23, 2002 - December 2, 2003
M&T SECURITIES, INC.
September 25, 2000 - March 7, 2002
CITICORP INVESTMENT SERVICES
October 21, 1999 - September 15, 2000
CHARLES SCHWAB & CO., INC.
June 10, 1998 - October 6, 1999
TD AMERITRADE, INC.
March 16, 1998 - June 18, 1998
BNY MELLON SECURITIES CORPORATION
September 9, 1997 - October 30, 1997
WHITEHALL WELLINGTON INVESTMENTS, INC.
July 21, 1997 - August 20, 1997
LADENBURG CAPITAL MANAGEMENT INC.
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
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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