Thomas P. Mcglynn

B. RILEY SECURITIES

New York, NY 10171

Some features on this profile are disabled

CRD#: 2981934

Professional summary

Thomas Patrick Mcglynn, who also goes by Thomas Patrick Mcglynn, Thomas Mcglynn, is a registered financial professional currently at B. RILEY SECURITIES, INC. located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Patrick Mcglynn | Thomas Mcglynn

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) - BD

Click below to view Thomas Patrick Mcglynn's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

April 24, 2018 - Present

B. RILEY SECURITIES, INC.

Office #1: 299 Park Avenue 21st Floor, New York, NY 10171

CRD#: 25027

New York, NY

Past

August 14, 2017 - March 16, 2018

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

September 7, 2016 - June 22, 2017

B. RILEY SECURITIES, INC.

CRD#: 25027

NEW YORK, NY

Past

April 17, 2015 - June 4, 2016

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

NEW YORK, NY

Past

September 19, 2011 - March 4, 2015

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

January 5, 1998 - March 30, 1998

LEGEND MERCHANT GROUP, INC.

CRD#: 5155

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(4/25/2018)

Exams

State Security Law Exam

Series 63

Date: 9/8/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 9/16/2011

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 1/2/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

B. RILEY SECURITIES, INC.

B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.

CRD#: 25027 / SEC#: , 8-41426

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025

Mailing Address

11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025

Phone number

(310) 966-1444

Established

Delaware since 06/16/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
B. RILEY SECURITIES HOLDINGS, INC.	DIRECT PARENT
BAKER, JAMES RICHARD	CO-CHIEF EXECUTIVE OFFICER	5834046
INNIS, KATHLEEN GIBBONS	CHIEF COMPLIANCE OFFICER	2112837
MCCOY, MICHAEL RICHARD	CHIEF FINANCIAL OFFICER	4743031
MOORE, ANDREW THOMAS	CO-CHIEF EXECUTIVE OFFICER	4574997
SCHUTT, JANELLE REGINA	CONTROLLER	2853858

Disclosures

Regulatory Event	12
Civil Event	1
Arbitration	1

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas P. Mcglynn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Patrick Mcglynn's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTOR FITZGERALD & CO.

B. RILEY SECURITIES, INC.

MACQUARIE CAPITAL (USA) INC.

DEUTSCHE BANK SECURITIES INC.

LEGEND MERCHANT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/8/2011

SIE

Date: 10/1/2018

Series 79

Date: 9/16/2011

Series 7

Date: 1/2/1998

FINRA

Current Firm

B. RILEY SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

B. RILEY SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors