Thomas Gilligan
Professional summary
Thomas Gilligan, who also goes by Thomas John Gilligan III, Thomas John Gilligan, is a registered financial professional currently at MAXIM GROUP LLC located in Stamford, Connecticut.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2003. Thomas has worked at 8 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Gilligan's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 27, 2026 - Present
MAXIM GROUP LLC
Office #1: 700 Canal Street, Stamford, CT 06902December 9, 2024 - March 26, 2026
TD SECURITIES (USA) LLC
September 4, 2014 - December 9, 2024
COWEN AND COMPANY
January 2, 2013 - March 11, 2014
BB&T SECURITIES, LLC
July 15, 2011 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
November 1, 2010 - July 5, 2011
CANTOR FITZGERALD & CO.
April 6, 2009 - October 29, 2010
FMSBONDS, INC.
December 3, 2003 - April 6, 2009
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/27/2026)
(4/27/2026)
Exams
FINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| 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.
