Thomas M. Morrissey
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 Michael Morrissey was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1977. Thomas had worked at 2 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 1978 - April 19, 2013
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP.
November 22, 1977 - November 20, 1983
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 9/6/1968
Registered Representative ExaminationSeries 00
Date: 2/12/1973
General Securities Principal ExaminationCurrent Firm
SULLIVAN, MORRISSEY & MICKLE SECURITIES CORP.
CRD#: 7727 / SEC#: 801-14033, 8-23179
Contact information
Red Flags
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