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Tom Madden

CRD# 2922876·Registered 1997 - 2021
Previously Registered: Being a previously registered professional could mean that Tom 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.

Professional Summary

Tom Madden, who also goes by Thomas Gillham Madden, Tom Madden, was a registered financial advisor. Tom was a previously registered financial professional and started their career in finance 1997 - 2021. Tom had worked at 4 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 7 and Series 55 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Thomas Gillham Madden, Tom Madden

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

29 years in the financial services industry

Current & Past Employments

STONEX OUTSOURCED SERVICES LLC·CRD# 30773
BD
Park City, UT
April 8, 2021 - August 17, 2021
WALLEYE TRADING LLC·CRD# 136196
BD
Wayzata, MN
February 24, 2012 - July 15, 2013
CUTLER GROUP, LLC·CRD# 31730
BD
San Francisco, CA
October 25, 2010 - January 27, 2012
PIPER SANDLER & CO.·CRD# 665
BD
Minneapolis, MN
October 2, 1997 - November 18, 2002

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Current Firm

SO
STONEX OUTSOURCED SERVICES LLC

CRESSMAN ESSER SECURITIES LLC | STONEX OUTSOURCED SERVICES LLC | MARIANA CAPITAL USA, LLC | INTL FILLMORE ADVISORS LLC | FILLMORE ADVISORS, LLC | FILLMORE ADVISOR, LLC | CRESSMAN ESSER SECURITIES, INC.

CRD#: 30773 / SEC#: 8-45150
BD
Terminated by SEC on 03/25/2025

Contact Information

Established

Delaware since 12/30/2014

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
CAPLAN, ANDREW BOGENPRESIDENT/CHIEF EXECUTIVE OFFICER4235343
OLSSON, JAMES MARTINCCO/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER6331790

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2021About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed May 2021About the Series 57TO exam

Series 7TO — General Securities Representative Examination

Passed Apr 2021About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Mar 2021About the SIE exam

Series 7 — General Securities Representative Examination

Passed Oct 2010About the Series 7 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jan 1999

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CRS (Client Relationship Summary)

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

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