Thomas W. Mcconnell
Professional summary
Thomas Warren Mcconnell was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1972. Prior to being barred, Thomas had worked at 6 firms, which includes BLC FINANCIAL SERVICES INC., FULCRUM FINANCIAL ADVISORS INC., NEW ENGLAND SECURITIES, ALLIANCEBERNSTEIN INVESTMENTS INC., EQUITABLE DISTRIBUTORS LLC, LINCOLN FINANCIAL DISTRIBUTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2003 - July 19, 2004
BLC FINANCIAL SERVICES, INC.
January 19, 2001 - August 27, 2002
FULCRUM FINANCIAL ADVISORS, INC.
September 14, 1993 - November 27, 2002
NEW ENGLAND SECURITIES
September 3, 1993 - September 7, 1993
ALLIANCEBERNSTEIN INVESTMENTS, INC.
October 16, 1992 - August 19, 1993
EQUITABLE DISTRIBUTORS, LLC
May 19, 1972 - October 8, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 00
Date: 5/11/1972
General Securities Principal ExaminationCurrent Firm
BLC FINANCIAL SERVICES, INC.
CRD#: 126638 / SEC#: , 8-65898
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 14 |
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