Thomas A. Mcgovern

CRESCENT SECURITIES GROUP

Plano, TX 75093

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CRD#: 4158758

Professional summary

Thomas Alexander Mcgovern, who also goes by Thomas Anthony Mcgovern, Thomas Mcgovern, is a registered financial professional currently at CRESCENT SECURITIES GROUP, INC. located in Plano, Texas.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 79, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Anthony Mcgovern | Thomas Mcgovern

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) - BD

Click below to view Thomas Alexander Mcgovern's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 6, 2022 - Present

CRESCENT SECURITIES GROUP, INC.

Office #1: 4975 Preston Park Blvd. Suite 820, Plano, TX 75093

CRD#: 114993

Plano, TX

Past

September 5, 2017 - August 28, 2020

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

July 6, 2015 - October 27, 2016

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

June 1, 2012 - July 6, 2015

CYPRESS ASSOCIATES

CRD#: 130252

NEW YORK, NY

Past

September 2, 2010 - April 24, 2012

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

April 16, 2004 - March 19, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 24, 2003 - April 6, 2004

KEEFE, BRUYETTE & WOODS, INC.

CRD#: 481

NEW YORK, NY

Past

June 7, 2001 - March 3, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 12, 2000 - May 16, 2000

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

State Registrations and Notice Filings

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

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

North Carolina
(6/6/2022)

Exams

State Security Law Exam

Series 63

Date: 9/28/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 3/13/2022

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 9/1/2010

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 87

Date: 3/1/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 4/11/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CRESCENT SECURITIES GROUP, INC.

CRD#: 114993 / SEC#: , 8-53457

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

4975 Preston Park Blvd. Suite 820, Plano, TX 75093

Mailing Address

4975 Preston Park Blvd. Suite 820, Plano, TX 75093

Phone number

(972) 490-0150

Established

Texas since 04/10/2001

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
D2 EQUITY HOLDINGS, INC.	SHAREHOLDER
DUREN, TRAVIS NICK	DIRECTOR/PRESIDENT/SECRETARY/CCO	1589445
STERLING, DONALD WILLIAM	FINOP
TRAVIS, RUSSELL WARREN	VICE PRESIDENT	2759751

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Thomas A. Mcgovern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Alexander Mcgovern's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOMURA SECURITIES INTERNATIONAL, INC.

RBC CAPITAL MARKETS, LLC

CYPRESS ASSOCIATES

MORGAN STANLEY & CO. LLC

LEHMAN BROTHERS INC.

KEEFE, BRUYETTE & WOODS, INC.

WELLS FARGO CLEARING SERVICES, LLC

HAPOALIM SECURITIES USA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/28/2012

Series 79TO

Date: 3/13/2022

SIE

Date: 10/1/2018

Series 79

Date: 9/1/2010

Series 87

Date: 3/1/2005

Series 7

Date: 4/11/2000

FINRA

Current Firm

CRESCENT SECURITIES GROUP, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CRESCENT SECURITIES GROUP, INC.

TRUST BUT VERIFY

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