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Thomas B. Mccormack

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CRD#: 2887215
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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 Bryant Mccormack was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 8 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 22, 2012 - April 20, 2012

CARTY, HARDING & HEARN, INC.

BD
CRD#: 7001
MEMPHIS, TN
Past

February 1, 2006 - March 16, 2007

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
CORDOVA, TN
Past

January 9, 2006 - March 16, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
CORDOVA, TN
Past

January 9, 2006 - March 16, 2007

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
CORDOVA, TN
Past

August 26, 2003 - May 14, 2004

WADDELL & REED

RIA
CRD#: 866
MEMPHIS, TN
Past

August 6, 2003 - May 14, 2004

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

February 1, 2002 - July 30, 2003

MONY SECURITIES CORPORATION

RIA
CRD#: 4386
GERMANTOWN, TN
Past

July 9, 2001 - July 30, 2003

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

July 24, 2000 - July 11, 2001

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 3, 1999 - June 30, 2000

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

December 3, 1999 - June 30, 2000

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

July 14, 1999 - November 23, 1999

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

July 14, 1999 - November 23, 1999

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

May 29, 1997 - July 1, 1999

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/6/2012
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/8/2000
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/28/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CH
CARTY, HARDING & HEARN, INC.
CARTY & COMPANY, INC. | CHH | CARTY, HARDING, & HEARN, INC. | CARTY, HARDING & HEARN, INC. | CARTY, HARDING & HEARN

CRD#: 7001 / SEC#: , 8-19082

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
6263 Poplar Avenue Suite 800, Memphis, TN 38119
Mailing Address
P.o. Box 17527, Memphis, TN 38187-0527
Phone number
(901) 767-8940
Established
Tennessee since 10/07/1970
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CARTY FINANCIAL CORPORATIONOWNER
CARTY, BILLY RANDOLPHCEO42297
CARTY, WILLIAM LAWRENCEPRESIDENT2356971
HEARN, JOHN ARTHURMANAGING DIRECTOR2078994
RUETTEN, ANGELA LYNNCFO
SCOLA, JENNIFER CARTYCOO, CCO1720872
TUCKER, CLARK BOMARFINOP1977842

Disclosures

Regulatory Event19

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.

Company Information

CARTY, HARDING & HEARN, INC.

CRD#: 7001

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