Thomas A. Mcauliffe

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CRD#: 324570

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 Mcauliffe was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1973. Thomas had worked at 9 firms and has passed the Series 63, F04 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

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

June 26, 2008 - June 17, 2014

MONNESS CRESPI HARDT & CO., INC.

CRD#: 7424

NEW YORK, NY

Past

January 3, 2005 - June 14, 2006

THE KEYSTONE EQUITIES GROUP, L.P.

CRD#: 127529

OAKS, PA

Past

January 13, 2001 - January 8, 2003

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 1, 1997 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

February 7, 1990 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

March 16, 1987 - August 29, 1989

JONES FALLS SECURITIES INC.

CRD#: 1437

BALTIMORE, MD

Past

May 4, 1979 - June 29, 1979

LAIDLAW, MARTIN & MOYSEY, INC.

CRD#: 6636

Past

September 24, 1976 - May 10, 1980

FIRST GEORGETOWN SECURITIES, INC.

CRD#: 5871

Past

February 9, 1973 - January 2, 1976

VOSS & CO., INC.

CRD#: 6405

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

Series 63

Date: 4/4/2005

Uniform Securities Agent State Law Examination

Principal/Supervisory Exam

F04

Date: 12/6/1972

Financial Principal Examination

Principal/Supervisory Exam

Series 00

Date: 12/6/1972

General Securities Principal Examination

Current Firm

MONNESS CRESPI HARDT & CO., INC.

MONNESS CRESPI HARDT & CO., INC. | MONNESS, WILLIAMS, CRESPI & CO., INC.

CRD#: 7424 / SEC#: , 8-21380

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

767 Third Avenue, New York, NY 10017-2047

Mailing Address

767 Third Avenue, New York, NY 10017-2047

Phone number

(212) 838-7575

Established

New York since 11/01/1996

Firm type

Other Types of Legal Formation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (14 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CRESPI, NEIL STEVEN	PRESIDENT/ (CEO-EQUIVALENT)	857348
MONNESS, ANDREW JAMES	CHAIRMAN/FINOP	338145
BLANCO, WILLIAM JOHN	VICE PRESIDENT/FINOP	2759359
FERGUSON-MORAN, KAREN ANN	CCO	4669988

Disclosures

Regulatory Event

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.

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Thomas A. Mcauliffe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE KEYSTONE EQUITIES GROUP, L.P.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

JONES FALLS SECURITIES INC.

LAIDLAW, MARTIN & MOYSEY, INC.

FIRST GEORGETOWN SECURITIES, INC.

VOSS & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/4/2005

F04

Date: 12/6/1972

Series 00

Date: 12/6/1972

Current Firm

MONNESS CRESPI HARDT & CO., INC.

Contact information

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MONNESS CRESPI HARDT & CO., INC.

TRUST BUT VERIFY

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