Thomas K. Mccaughey
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 Kinnan Mccaughey was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 5, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2011 - July 2, 2019
ING FINANCIAL MARKETS LLC
August 11, 1998 - January 18, 2001
PRUDENTIAL EQUITY GROUP, LLC
June 30, 1993 - June 26, 1998
PERSHING LLC
April 1, 1974 - January 28, 1992
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/21/1981
Interest Rate Options ExaminationSeries 1
Date: 3/28/1974
Registered Representative ExaminationSeries 40
Date: 12/16/1976
Registered Principal ExaminationCurrent Firm
ING FINANCIAL MARKETS LLC
CRD#: 28872 / SEC#: , 8-43978
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ING FINANCIAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BENETREU, LINDA MARIANNE | DIRECTOR | 6448656 |
| CHAUDHURI, SUPRIO NMN | CHIEF COMPLIANCE OFFICER | 4659711 |
| CICCHILLO, DARREN THOMAS | CHIEF OPERATING OFFICER | 2261428 |
| MEEHAN, TIMOTHY MICHAEL | GENERAL COUNSEL | 4238220 |
| MEYER, KATHARYN ARABELA BOYLE | CHIEF EXECUTIVE OFFICER | 3063186 |
| SCHAEFFER, ANDREW DAVID | DIRECTOR | 1817568 |
| TORNIJ, MARK | DIRECTOR | 7337753 |
| WOLVIUS, JOHANNES DERK | CHIEF FINANCIAL OFFICER | 7053218 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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