Thomas W. Anderson

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CRD#: 6742792

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 William Anderson was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2017. Thomas had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Southminister Presbyterian Church, Glen Ellyn, IL Music Dir, non-investment related Random Notes LLC, non-investment related music arranging/engineering/education business out of home in Chicago, IL Hours vary, started 4/30/11

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 11, 2022 - September 8, 2022

TJM INVESTMENTS, LLC

CRD#: 46300

CHICAGO, IL

Past

June 15, 2021 - June 13, 2022

MACK INVESTMENT SECURITIES, INC.

RIA

CRD#: 17643

NORTHFIELD, IL

Past

June 14, 2021 - June 14, 2021

MACK INVESTMENT SECURITIES, INC.

RIA

CRD#: 17643

NORTHFIELD, IL

Past

June 14, 2021 - June 13, 2022

MACK INVESTMENT SECURITIES, INC.

CRD#: 17643

NORTHFIELD, IL

Past

February 23, 2018 - May 28, 2021

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

May 2, 2017 - May 28, 2021

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

RIA

CRD#: 109701

ELMHURST, IL

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

Series 63

Date: 2/3/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/29/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 12/30/2021

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/23/2018

General Securities Principal Examination

Current Firm

TJM INVESTMENTS, LLC

MND PARTNERS | TJM SECURITIES, LLC | TJM INVESTMENTS, LLC

CRD#: 46300 / SEC#: , 8-51370

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

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Contact information

Main Address

318 W. Adams Street Suite 900, Chicago, IL 60606

Mailing Address

318 W. Adams Street 9th Floor, Chicago, IL 60606

Phone number

(312) 432-5100

Established

Illinois since 10/13/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TJM HOLDINGS, LLC	HOLDING COMPANY
BEITLER, STEVE ALLEN	CHIEF EXECUTIVE OFFICER	1893827
BURKE, JOHN TERRENCE	CHIEF OPERATING OFFICER	2116593
DANG, STACY BINH	CHIEF COMPLIANCE OFFICER	3143275
MURPHY, THOMAS JAMES	CO-MANAGER	857354
RISINGER, COLLEEN SULLIVAN	FINOP CFO	2812053
SKWERES, DENISE PAREJKO	FINOP CFO	5332253

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 W. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MACK INVESTMENT SECURITIES, INC.

MACK INVESTMENT SECURITIES, INC.

MACK INVESTMENT SECURITIES, INC.

LASALLE ST SECURITIES, L.L.C.

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/3/2018

Series 65

Date: 4/29/2017

SIE

Date: 10/1/2018

Series 7

Date: 1/20/2018

Series 4

Date: 12/30/2021

Series 24

Date: 6/23/2018

Current Firm

TJM INVESTMENTS, LLC

Contact information

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TJM INVESTMENTS, LLC

TRUST BUT VERIFY

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