TM
Thomas C. Mchugh
COHEN & COMPANY SECURITIES
Philadelphia, PA 19104
Some features on this profile are disabled
CRD#: 3278612
TM
Professional summary
Thomas C Mchugh is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in Philadelphia, Pennsylvania.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2010. Thomas has worked at 2 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Thomas C Mchugh's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 22, 2012 - Present
COHEN & COMPANY SECURITIES, LLC
Office #1: 2929 Arch Street 17th Floor, Philadelphia, PA 19104BD
CRD#: 149758
Philadelphia, PA
Past
June 7, 2011 - February 17, 2012
COHEN & COMPANY CAPITAL MARKETS, LLC
BD
CRD#: 144981
NEW YORK, NY
Past
June 9, 2010 - June 2, 2011
COHEN & COMPANY SECURITIES, LLC
BD
CRD#: 149758
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/22/2012)
RR
Arizona(2/22/2012)
RR
Arkansas(2/22/2012)
RR
California(2/22/2012)
RR
Colorado(2/22/2012)
RR
Connecticut(2/22/2012)
RR
Delaware(3/6/2012)
RR
District of Columbia(2/22/2012)
RR
Florida(2/22/2012)
RR
Georgia(2/22/2012)
RR
Illinois(2/22/2012)
RR
Indiana(2/23/2012)
RR
Iowa(2/22/2012)
RR
Kansas(2/22/2012)
RR
Kentucky(2/22/2012)
RR
Louisiana(2/22/2012)
RR
Maryland(2/22/2012)
RR
Massachusetts(2/22/2012)
RR
Michigan(2/22/2012)
RR
Minnesota(2/22/2012)
RR
Missouri(2/22/2012)
RR
Nebraska(2/22/2012)
RR
Nevada(2/22/2012)
RR
New Hampshire(2/22/2012)
RR
New Jersey(2/22/2012)
RR
New Mexico(2/22/2012)
RR
New York(2/22/2012)
RR
North Carolina(2/22/2012)
RR
North Dakota(2/22/2012)
RR
Ohio(2/22/2012)
RR
Oklahoma(4/5/2012)
RR
Pennsylvania(2/22/2012)
RR
Rhode Island(2/22/2012)
RR
South Carolina(2/22/2012)
RR
Texas(2/22/2012)
RR
Vermont(2/22/2012)
RR
Virginia(2/22/2012)
RR
Wisconsin(2/22/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
C&
COHEN & COMPANY SECURITIES, LLC
C & CO/PRINCERIDGE GROUP LLC | VINSONFORBES & CO. LLC | THE PRINCERIDGE GROUP LLC | J.V.B. FINANCIAL GROUP, LLC | COHEN & COMPANY SECURITIES, LLC | C & CO/PRINCERIDGE LLC
CRD#: 149758 / SEC#: , 8-68186
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3 Columbus Circle 24th Floor, New York, NY 10019
Mailing Address
3 Columbus Circle 24th Floor, New York, NY 10019
Phone number
(646) 792-5600
Established
Delaware since 12/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
