Thomas P. Mallen
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 Patrick Mallen, who also goes by Thomas P Mallen, Tom Mallen, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2012 - August 8, 2019
T/R FINANCIAL MANAGEMENT GROUP, LLC
March 25, 2010 - May 3, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
December 10, 2009 - May 3, 2012
ALLSTATE FINANCIAL SERVICES, LLC
July 6, 2007 - November 30, 2009
EAGLE STRATEGIES LLC
June 15, 2007 - November 24, 2009
NYLIFE SECURITIES LLC
March 7, 2005 - June 4, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 10, 2004 - June 4, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 11, 2001 - December 14, 2004
EDWARD JONES
December 5, 2000 - March 21, 2001
PHILLIPS & COMPANY
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
Current Firm
T/R FINANCIAL MANAGEMENT GROUP, LLC
CRD#: 117102 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 145 |
| AUM (Assets Under Management) | $ 23,650,896 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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