Thomas L. Mcghee
Professional summary
Thomas Leo Mcghee 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 1966. Prior to being barred, Thomas had worked at 5 firms, which includes CONTINENTAL CAPITAL SECURITIES INC, HAMILTON INVESTMENTS INC., OBERWEIS SECURITIES INC., AMERICAN GENERAL EQUITY SERVICES CORPORATION, BELL & BECKWITH.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 1991 - January 4, 2001
CONTINENTAL CAPITAL SECURITIES, INC
December 8, 1988 - January 15, 1991
HAMILTON INVESTMENTS, INC.
March 28, 1983 - December 17, 1988
OBERWEIS SECURITIES, INC.
May 25, 1982 - September 16, 1983
AMERICAN GENERAL EQUITY SERVICES CORPORATION
December 6, 1966 - February 10, 1983
BELL & BECKWITH
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 1
Date: 12/2/1966
Registered Representative ExaminationSeries 40
Date: 10/29/1973
Registered Principal ExaminationCurrent Firm
CONTINENTAL CAPITAL SECURITIES, INC
CRD#: 14635 / SEC#: , 8-30979
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Civil Event | 1 |
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.
