Thomas A. Monahan
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 Alphonsus Monahan was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1978. Thomas had worked at 14 firms and has passed the Series 65, Series 63, Series 31 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
December 7, 2005 - March 20, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 5, 2005 - March 20, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2003 - September 13, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - September 13, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 21, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 17, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 16, 1993 - April 19, 2000
MORGAN STANLEY DW INC.
July 31, 1993 - December 16, 1993
CITIGROUP GLOBAL MARKETS INC.
May 6, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
January 13, 1988 - April 27, 1988
HAMBRECHT & QUIST LLC
August 27, 1986 - November 5, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
October 18, 1984 - November 5, 1985
JEFFERIES LLC
July 19, 1984 - October 9, 1984
ROONEY, PACE INC.
August 1, 1983 - August 23, 1984
UBS FINANCIAL SERVICES INC.
August 17, 1982 - August 15, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
March 23, 1981 - August 17, 1982
DONALD SHELDON & CO., INC.
October 19, 1979 - April 20, 1981
MUNICIPAL INVESTORS SERVICE, INC.
June 8, 1978 - November 11, 1979
DONALD SHELDON & CO., INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
