Thomas V. Mcmahon
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 Vaughan Mcmahon JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 5 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
September 23, 2008 - June 9, 2021
FRANKLIN DISTRIBUTORS, LLC
December 1, 2005 - December 31, 2006
FRANKLIN DISTRIBUTORS, LLC
September 30, 2003 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
January 3, 2002 - September 30, 2003
HOWARD WEIL INCORPORATED
February 28, 1996 - December 8, 2000
CREDIT SUISSE SECURITIES (USA) LLC
February 19, 1992 - January 16, 1996
JPMSI
December 6, 1983 - January 8, 1992
PERSHING LLC
June 26, 1980 - September 21, 1983
E. F. HUTTON & COMPANY INC
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
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationCurrent Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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