AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TM

Thomas A. Mcgovern

Some features on this profile are disabled
CRD#: 4158758
TM

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 Alexander Mcgovern, who also goes by Thomas Anthony Mcgovern, Thomas Mcgovern, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had 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"?
No

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)

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

June 6, 2022 - April 1, 2026

CRESCENT SECURITIES GROUP, INC.

BD
CRD#: 114993
PLANO, TX
Past

September 5, 2017 - August 28, 2020

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

July 6, 2015 - October 27, 2016

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

June 1, 2012 - July 6, 2015

CYPRESS ASSOCIATES

BD
CRD#: 130252
NEW YORK, NY
Past

September 2, 2010 - April 24, 2012

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

April 16, 2004 - March 19, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

February 24, 2003 - April 6, 2004

KEEFE, BRUYETTE & WOODS, INC.

BD
CRD#: 481
NEW YORK, NY
Past

June 7, 2001 - March 3, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 12, 2000 - May 16, 2000

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 9/28/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/13/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/1/2010
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 87
Date: 3/1/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 4/11/2000
General Securities Representative Examination

Current Firm

CS
CRESCENT SECURITIES GROUP, INC.
CRESCENT SECURITIES GROUP, INC.

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

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
D2 EQUITY HOLDINGS, INC.SHAREHOLDER
DUREN, TRAVIS NICKDIRECTOR/PRESIDENT/SECRETARY/CCO1589445
STERLING, DONALD WILLIAMFINOP
TRAVIS, RUSSELL WARRENVICE PRESIDENT2759751

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

CRESCENT SECURITIES GROUP, INC.

CRD#: 114993

TRUST BUT VERIFY

Monitor Thomas Mcgovern

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.