Thomas A. Maloney
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 Aloysius Maloney III, who also goes by Thomas Aloysius Maloney, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 5 firms and has passed the Series 63 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
May 5, 2008 - December 31, 2009
SW FINANCIAL
September 7, 2004 - May 31, 2006
GUNNALLEN FINANCIAL, INC
February 12, 2003 - July 23, 2004
TRIDENT PARTNERS LTD.
January 28, 2000 - February 7, 2003
GLENN MICHAEL FINANCIAL, INC.
August 8, 1997 - December 15, 1997
ROYAL HUTTON SECURITIES CORP.
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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
