Thomas G. Shugrue
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 George Shugrue, who also goes by Thomas George Shugrur, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 16 firms and has passed the Series 63, SIE, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2017 - April 19, 2018
ROBERTS & RYAN, INC.
August 21, 2017 - December 7, 2017
KELSON CAPITAL LLC
June 22, 2017 - July 11, 2017
CAVU SECURITIES LLC
November 22, 2016 - March 27, 2017
CROSS POINT CAPITAL LLC
August 27, 2015 - November 14, 2016
CG CAPITAL MARKETS, LLC
July 15, 2015 - August 26, 2015
BARDOWN CAPITAL LLC
July 15, 2015 - August 26, 2015
BAYES CAPITAL LLC
July 3, 2014 - July 1, 2015
ACADEMY SECURITIES, INC.
July 22, 1999 - November 18, 2014
CAROLINA CAPITAL MARKETS, INC.
February 5, 1997 - July 27, 1999
LEGG MASON WOOD WALKER, INCORPORATED
October 7, 1996 - February 6, 1997
RODMAN & RENSHAW INC.
December 1, 1995 - October 3, 1996
WACHOVIA SECURITIES, INC.
February 16, 1995 - September 19, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
May 4, 1981 - February 6, 1995
PRUDENTIAL EQUITY GROUP, LLC
February 27, 1976 - May 16, 1981
CITIGROUP GLOBAL MARKETS INC.
November 19, 1974 - February 27, 1976
SMITH, BARNEY & CO. INCORPORATED
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 1
Date: 11/14/1974
Registered Representative ExaminationSeries 8
Date: 4/9/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROBERTS & RYAN, INC.
CRD#: 19456 / SEC#: 801-113965, 8-37469
Contact information
FINRA licenses (32 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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