TW
Thomas K. Wasserman
MOLONEY SECURITIES CO.
Manchester, MO 63021
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CRD#: 459659
TW
Professional summary
Thomas Kenneth Wasserman, who also goes by Tom Wasserman, is a registered financial professional currently at MOLONEY SECURITIES CO., INC. located in Manchester, Missouri.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1967. Thomas has worked at 7 firms and has passed the Series 63, Series 7TO, Series 52TO, Series 99TO, SIE, PC, Series 1, Series 53, Series 28 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom Wasserman
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Kenneth Wasserman'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®
NoneExperience
Current
January 13, 2010 - Present
MOLONEY SECURITIES CO., INC.
Office #1: 13537 Barrett Parkway Drive #300, Manchester, MO 63021BD
CRD#: 38535
Manchester, MO
Past
December 20, 1999 - January 4, 2010
WASSERMAN & ASSOCIATES, INC.
BD
CRD#: 45085
BOYNTON BEACH, FL
Past
February 22, 1991 - December 31, 1999
THOS. K. WASSERMAN & ASSOCIATES, INC.
BD
CRD#: 27826
BOYNTON BEACH, FL
Past
September 11, 1978 - April 1, 1991
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
February 24, 1978 - September 15, 1978
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
May 21, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 6466
Past
April 25, 1967 - June 16, 1973
DUPONT WALSTON, INCORPORATED
BD
CRD#: 870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Florida(1/28/2010)
RR
Nevada(6/8/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 2/6/1979
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 5/16/1962
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 1/2/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MOLONEY SECURITIES CO., INC.
ADVANCED FINANCIAL SOLUTIONS, LLC | WESTPORT ADVISORY GROUP | WARREN FINANCIAL SERVICES | VANCE CAPITAL | THE RESOURCE PARTNERS GROUP | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SYNERGISTIC FINANCIAL | SUGAR CREEK INVESTMENT ADVISORY GROUP, LLC | STERLING CAPITAL MANAGEMENT | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT, INC. | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SECURUS SENIOR PLANNING SOLUTIONS, LLC | SECURUS | SAT WEALTH MANAGEMENT LLC | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH GROUP | ROYAL ROUTE COMPANY LLC | PROFESSIONAL INVESTMENT MANAGEMENT | PLANNED INVESTMENT CO INC | NMG FINANCIAL SERVICES | NET STREET BROKERAGE | MOSECO ASSET MANAGEMENT | MONETARY MANAGEMENT GROUP, INC. | MOLONEY SECURITIES CO., INC. | MOLONEY SECURITIES ASSET MANAGEMENT | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, INC. | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JIM RAIA INVESTMENT GROUP | JCL CAPITAL MANAGEMENT, LLC | JCL CAPITAL MANAGEMENT | INVESTMENT CENTER OF TOMAHAWK | INVESTMENT CENTER OF ESTES PARK, INC. | INVESTMENT CENTER OF ESTES PARK | INVESTMENT CENTER | HERITAGE INVESTMENT MANAGEMENT, LLP | HERITAGE INVESTMENT MANAGEMENT LLP | GRAND GLAIZE WEALTH MANAGEMENT | GENE PANASENKO, INC. | FIRST MID AMERICA, INC. | EVERHART WEALTH MANAGEMENT LLC | CP WEALTH | CORRIGAN-JONES INVESTMENT ADVISORS | CHRISTIANSON FINANCIAL ADVISORS, LLC | CHANEY & ASSOCIATES | CANDICE MONTIE INSURANCE & INVESTMENTS | C&A FINANCIAL ADVISORS | BRIDGES FINANCIAL ASSOCIATES, INC. | BRIDGES FINANCIAL ASSOCIATES | ATLANTIC SENIOR ADVISORS LLC | ASSET ALLIANCE FINANCIAL | ARTISAN ASSET MANAGEMENT, LLC | ARTISAN ASSET MANAGEMENT | ARLINGTON FINANCIAL SERVICES
CRD#: 38535 / SEC#: 801-64722, 8-48326
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
13537 Barrett Parkway Drive Suite 300, Manchester, MO 63021
Mailing Address
13537 Barrett Parkway Drive #300, Manchester, MO 63021
Phone number
(314) 909-0600
Established
Missouri since 05/03/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIAR GREEN HOLDINGS, INC. | OWNER | |
| CORRIGAN, BRIAN PATRICK | INVESTOR/DIRECTOR | 4258969 |
| HANCOCK, DONALD RALPH | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN | 828811 |
| HOLOWATUK, WILLIAM JAMES | DIRECTOR OF COMPLIANCE | 6107023 |
| HUME, SCOTT ALLEN | INVESTOR/DIRECTOR | 2894512 |
| MEDLEY, JOSEPH RONALD JR | INVESTOR/DIRECTOR | 2619119 |
| MOLONEY, EDWARD JOHN JR | PRESIDENT, OFFICER/DIRECTOR | 3188341 |
| ROSEMAN, JEFFREY PATRICK | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP | 6296481 |
| STEEL, GEORGE DONALD | INVESTOR/DIRECTOR | 716992 |
| WIESER, RYAN MATHEW | VICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR | 4940639 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MOLONEY SECURITIES CO., INC.
CRD#: 38535Manchester, MO 63021TRUST BUT VERIFY
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