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Thomas J. Mckay

Some features on this profile are disabled
CRD#: 328564
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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 James Mckay was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1972. Thomas had worked at 11 firms and has passed the Series 52, Series 1 and Series 00 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 12, 1995 - April 19, 2013

O'BRIEN & SHEPARD, INC.

BD
CRD#: 7152
JERSEY CITY, NJ
Past

April 6, 1993 - May 22, 1995

TITUS & DONNELLY LLC

BD
CRD#: 7033
NEW YORK, NY
Past

February 1, 1990 - March 1, 1990

W. H. MELL ASSOCIATES, INC.

BD
CRD#: 23635
SUMMIT, NJ
Past

February 16, 1988 - February 21, 1989

COOGAN, GILBERT & CO., INC.

BD
CRD#: 7207
Past

August 11, 1987 - November 2, 1987

DOMESTIC ARBITRAGE GROUP, INC.

BD
CRD#: 8144
Past

June 16, 1982 - September 17, 1987

FRANK HENJES & COMPANY, INC.

BD
CRD#: 7168
Past

August 2, 1979 - March 30, 1982

BREAN MURRAY & CO., INC.

BD
CRD#: 7541
Past

May 6, 1976 - October 27, 1976

MOSELEY, HALLGARTEN & ESTABROOK INC

BD
CRD#: 7501
Past

June 26, 1975 - May 2, 1976

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
Past

July 23, 1973 - May 24, 1974

RAND, MCKAY & LYON, INC.

BD
CRD#: 3127
Past

July 27, 1972 - June 23, 1973

RIVIERE & BERENS SECURITIES CORP.

BD
CRD#: 1000001

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 52
Date: 3/29/1993
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 7/25/1972
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 9/20/1973
General Securities Principal Examination

Current Firm

O&
O'BRIEN & SHEPARD, INC.
O'BRIEN & SHEPARD, INC.

CRD#: 7152 / SEC#: , 8-19348

BD
Terminated by SEC on 02/16/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 11/10/1998
Firm type
Corporation
Fiscal year end
January
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PETRUCELLI, MICHAEL STUART SRSEC. VP., CCO, CFO1106857
TOMMASINO, MICHAEL EDWARDVICE PRESIDENT1299002
VONNESSEN, EDWARD ALLENVICE PRESIDENT1503849
HAGAN, LEONARD ALLANFINOP2582328

Disclosures

Regulatory Event2

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.

Company Information

O'BRIEN & SHEPARD, INC.

CRD#: 7152

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