Thomas F. Mcguckin
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 Francis Mcguckin, who also goes by Thomas F Mcguckin, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 8 firms and has passed the Series 65, Series 63, Series 31, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2009 - August 2, 2013
MSI FINANCIAL SERVICES, INC.
November 14, 2008 - August 2, 2013
MSI FINANCIAL SERVICES, INC.
April 4, 2005 - November 7, 2008
LPL FINANCIAL LLC
April 4, 2005 - November 7, 2008
LPL FINANCIAL LLC
January 28, 2000 - April 5, 2005
MORGAN STANLEY DW INC.
November 8, 1999 - April 5, 2005
MORGAN STANLEY DW INC.
March 6, 1995 - November 11, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 16, 1991 - March 23, 1995
PRUDENTIAL EQUITY GROUP, LLC
June 25, 1990 - January 14, 1992
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 27, 1981 - December 31, 1989
CONSECO FINANCIAL SERVICES, INC.
November 12, 1971 - July 1, 1983
TOWER SQUARE SECURITIES, INC.
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
PC
Date: 4/2/1992
AMEX Put and Call ExamSeries 1
Date: 11/8/1971
Registered Representative ExaminationCurrent Firm
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
