Thomas J. Fagan
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 John Fagan, who also goes by Tom Fagan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2017 - March 6, 2017
TD AMERITRADE, INC.
January 9, 2017 - March 6, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 9, 2017 - March 6, 2017
TD AMERITRADE, INC.
July 8, 2011 - December 24, 2015
USAA FINANCIAL PLANNING SERVICES
July 8, 2011 - December 24, 2015
USAA FINANCIAL ADVISORS, INC.
February 19, 2009 - June 2, 2011
SCOTTRADE, INC.
December 9, 2008 - January 13, 2009
USAA FINANCIAL PLANNING SERVICES
September 21, 2007 - January 13, 2009
USAA FINANCIAL ADVISORS, INC.
September 18, 2007 - December 31, 2008
USAA INVESTMENT SERVICES COMPANY
September 7, 2007 - December 31, 2007
USAA INVESTMENT SERVICES COMPANY
May 17, 2006 - August 16, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 26, 2003 - August 16, 2007
TD AMERITRADE, INC.
November 3, 1999 - August 16, 2007
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 144 |
Red Flags
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