Thomas F. Meagher

HARRIS ASSOCIATES SECURITIES L.P.

Chicago, IL 60606

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CRD#: 5033861

Professional summary

Thomas Francis Meagher, who also goes by Thomas Francis Meagher, T.f. Meagher, Thomas F Meagher, is a registered financial professional currently at HARRIS ASSOCIATES SECURITIES L.P. located in Chicago, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2005. Thomas has worked at 6 firms and has passed the Series 63, Series 65, Series 3, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Francis Meagher | T.f. Meagher | Thomas F Meagher

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 Francis Meagher'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

November 13, 2024 - Present

HARRIS ASSOCIATES SECURITIES L.P.

Office #1: 111 S. Wacker Drive Suite 4600, Chicago, IL 60606

CRD#: 6959

Chicago, IL

Past

November 5, 2021 - October 16, 2024

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Past

April 27, 2017 - September 7, 2021

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Chicago, IL

Past

August 7, 2013 - May 2, 2016

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

CHICAGO, IL

Past

September 7, 2007 - March 24, 2010

UBS ASSET MANAGEMENT (US) INC.

RIA

CRD#: 583

CHICAGO, IL

Past

September 7, 2007 - March 24, 2010

UBS ASSET MANAGEMENT (US) INC.

CRD#: 583

CHICAGO, IL

Past

June 27, 2006 - December 4, 2006

B. C. ZIEGLER AND COMPANY

CRD#: 61

CHICAGO, IL

Past

October 13, 2005 - December 4, 2006

ZIEGLER CAPITAL MANAGEMENT, LLC

RIA

CRD#: 135622

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(11/13/2024)

Alaska
(11/13/2024)

Arizona
(11/13/2024)

Arkansas
(11/13/2024)

California
(11/13/2024)

Colorado
(11/13/2024)

Connecticut
(11/13/2024)

Delaware
(11/13/2024)

District of Columbia
(11/13/2024)

Florida
(11/13/2024)

Georgia
(11/13/2024)

Hawaii
(11/13/2024)

Idaho
(11/13/2024)

Illinois
(11/13/2024)

Indiana
(11/13/2024)

Iowa
(11/13/2024)

Kansas
(11/13/2024)

Kentucky
(11/13/2024)

Louisiana
(11/13/2024)

Maine
(11/13/2024)

Maryland
(11/13/2024)

Massachusetts
(11/13/2024)

Michigan
(11/13/2024)

Minnesota
(11/13/2024)

Mississippi
(11/13/2024)

Missouri
(11/13/2024)

Montana
(11/13/2024)

Nebraska
(11/13/2024)

Nevada
(11/13/2024)

New Hampshire
(11/13/2024)

New Jersey
(11/13/2024)

New Mexico
(11/13/2024)

New York
(11/13/2024)

North Carolina
(11/13/2024)

North Dakota
(11/13/2024)

Ohio
(11/13/2024)

Oklahoma
(11/13/2024)

Oregon
(11/13/2024)

Pennsylvania
(11/13/2024)

Puerto Rico
(11/13/2024)

Rhode Island
(11/13/2024)

South Carolina
(11/13/2024)

South Dakota
(11/13/2024)

Tennessee
(11/13/2024)

Texas
(11/13/2024)

Utah
(11/13/2024)

Vermont
(11/13/2024)

Virgin Islands
(11/13/2024)

Virginia
(11/13/2024)

Washington
(11/13/2024)

West Virginia
(11/13/2024)

Wisconsin
(11/13/2024)

Wyoming
(11/13/2024)

Exams

State Security Law Exam

Series 63

Date: 4/17/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/5/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 11/22/2021

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/7/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HARRIS ASSOCIATES SECURITIES L.P.

HARRIS ASSOCIATES SECURITIES L.P. | HARRIS ASSOCIATES, INC.

CRD#: 6959 / SEC#: , 8-19988

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

111 S. Wacker Drive Suite 4600, Chicago, IL 60606

Mailing Address

111 S. Wacker Drive Suite 4600, Chicago, IL 60606

Phone number

(312) 646-3600

Established

Delaware since 12/12/1986

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HARRIS ASSOCIATES L.P.	LIMITED PARTNER
HARRIS ASSOCIATES INC.	GENERAL PARTNER
KELLER, CHRISTOPHER WOLFGANG	PRESIDENT	2865184
PIETRAS, MICHAEL	CHIEF COMPLIANCE OFFICER	4278774
WEBER, ZACHARY DAVID	PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	5483343
WRIGHT, RANA JEWEL	CHIEF LEGAL AND ADMINISTRATIVE OFFICER	6357277

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Thomas F. Meagher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Francis Meagher's CRS (Customer Relationship Summary).

Certified licenses

Experience

JANUS HENDERSON DISTRIBUTORS US LLC

FORESIDE FUND SERVICES, LLC

UBS ASSET MANAGEMENT (US) INC.

UBS ASSET MANAGEMENT (US) INC.

UBS ASSET MANAGEMENT (US) INC.

B. C. ZIEGLER AND COMPANY

ZIEGLER CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/17/2014

Series 65

Date: 10/5/2005

Series 3

Date: 11/22/2021

SIE

Date: 10/1/2018

Series 7

Date: 8/7/2013

Series 24

Date: 3/1/2022

FINRA

Current Firm

HARRIS ASSOCIATES SECURITIES L.P.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HARRIS ASSOCIATES SECURITIES L.P.

TRUST BUT VERIFY

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