Thomas George Shugrue
Professional Summary
Thomas George Shugrue, who also goes by Thomas George Shugrur, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1974 - 2018. Thomas had worked at 16 firms and has passed the Series 63, SIE, Series 1, Series 24 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas George Shugrur
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
52 years in the financial services industry
Current & Past Employments
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Current Firm
ROBERTS & RYAN INVESTMENTS INC. | ROBERTS SECURITIES, INC. | ROBERTS & RYAN, INC.
Contact Information
Main Address
39 Broadway Ste 1640, New York, NY 10006Mailing Address
39 Broadway Ste 610, New York, NY 10006-3003Phone Number
(866) 884-9959Established
Delaware since 02/01/2023Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (32 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Nov 1974Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Apr 1996Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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