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Thomas J. Mcgahren

GRIFFIN SECURITIES
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 4420518
TM

Professional summary

Thomas Joseph Mcgahren is a registered financial professional currently at GRIFFIN SECURITIES, INC. located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 3 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 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) - BD

Click below to view Thomas Joseph Mcgahren's 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

October 11, 2011 - Present

GRIFFIN SECURITIES, INC.

Office #1: 17 State Street, New York, NY 10004Office #2: 17 State Street, New York, NY 10004
BD
CRD#: 43229
NEW YORK, NY
Past

May 16, 2002 - April 13, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 3, 2001 - April 26, 2002

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
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: 8/28/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 9/1/2004
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 9/1/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 8/2/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GRIFFIN SECURITIES, INC.
GRIFFIN ADVISERS | GRIFFIN SECURITIES, INC.

CRD#: 43229 / SEC#: , 8-50186

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
17 State Street, New York, NY 10004
Mailing Address
17 State Street, New York, NY 10004
Phone number
(212) 509-9500
Established
New York since 04/01/1997
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
STECYK, ADRIAN ZENONPRESIDENT2883667
STECYK, CHRYSTYNA MARIAVICE PRESIDENT2883670
LANCIAN, JULIA RACHELFINOP, CHIEF COMPLIANCE OFFICER4116564
STERLING SECURITIES INTERNATIONAL LTD.SHAREHOLDER

Disclosures

Regulatory Event1

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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Company Information

GRIFFIN SECURITIES, INC.

CRD#: 43229New York, NY 10004

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