Thomas M. Mcdonald
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 Marion Mcdonald was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1973. Thomas had worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, Series 99TO, Series 79TO, SIE, Series 5, PC, Series 000, Series 1, Series 24, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2005 - March 17, 2025
MCDONALD PARTNERS LLC
July 7, 2005 - March 17, 2025
MCDONALD PARTNERS LLC
April 3, 2003 - January 20, 2006
GREAT LAKES ADVISORS, LLC
April 2, 2003 - January 20, 2006
WINTRUST INVESTMENTS LLC
March 14, 2003 - April 2, 2003
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 9, 1991 - March 14, 2003
KEYBANC CAPITAL MARKETS INC.
September 4, 1990 - September 27, 1991
WELLS FARGO CLEARING SERVICES, LLC
March 3, 1988 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
February 15, 1988 - April 9, 1988
LEHMAN BROTHERS INC.
September 26, 1978 - April 16, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 1973 - February 15, 1988
E. F. HUTTON & COMPANY INC
July 3, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
MCDONALD PARTNERS LLC
CRD#: 135414 / SEC#: 801-64294, 8-66985
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 10/2/1981
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 000
Date: 7/27/1973
General Securities Principal ExaminationSeries 1
Date: 6/27/1973
Registered Representative ExaminationSeries 40
Date: 7/14/1978
Registered Principal ExaminationSeries 12
Date: 7/13/1978
NYSE Branch Manager ExaminationCurrent Firm
MCDONALD PARTNERS LLC
CRD#: 135414 / SEC#: 801-64294, 8-66985
Contact information
SEC notice filing (42 States and Territories)
FINRA licenses (48 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCDONALD, THOMAS MARION | OWNER | 326904 |
| MCDONALD, ARNOLD BEATTY | FINANCIAL & OPERATIONS PRINCIPAL | 5126644 |
| MCDONALD, ARNOLD BEATTY | CEO/CFO/MUNI PRINCIPAL/OWNER | 5126644 |
| MCDONALD, BRIAN ANDREW | OWNER | 3037343 |
| RAFAT NAIN NEMRY | OWNER | |
| HARTZLER, JONATHAN DANIEL | CHIEF COMPLIANCE OFFICER | 5163442 |
| HEGARTY, WILLIAM MAURICE JR | CHIEF INVESTMENT OFFICER | 2784174 |
| MANSOUR, RITA | OWNER | 1968418 |
| MCARDLE, JOHN EDWARD III | OWNER | 5386698 |
| NORTON, TIMOTHY PATRICK | OWNER | 726982 |
Regulatory assets under management
| Total Number of Accounts | 2,024 |
| AUM (Assets Under Management) | $ 1,287,456,830 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/02/2025 | ||
| 10/02/2025 | ||
| 01/06/2025 | ||
| 01/06/2025 | ||
| 09/18/2023 | ||
| 09/18/2023 | ||
| 01/04/2023 | ||
| 01/04/2023 |
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.
