TM
Thomas J. Mcgroarty
NATIONS FINANCIAL GROUP
Berwyn, PA 19312
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CRD#: 817454
TM
Professional summary
Thomas Joseph Mcgroarty is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Berwyn, Pennsylvania.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Thomas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, PC, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
MCGROARTY INVESTMENT GROUP; 1055 WESTLAKES DR., SUITE 300 BERWYN, PA 19312; IS INVESTMENT RELATED; NATURE OF BUSINESS IS TO OFFER INVESTMENT AND ADVISORY SERVICES; POSITION IS OWNER; START DATE 07/1/2023; NUMBER OF HOURS PER MONTH 160; NUMBER OF HOURS DURING TRADING 8; DUTIES ARE ACCOUNT MANAGEMENT, ETC.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Mcgroarty's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Mcgroarty'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®
NoneExperience
Current
July 14, 2023 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 1055 Westlakes Dr. Suite 300, Berwyn, PA 19312RIA
BD
CRD#: 44181
Berwyn, PA
Current
July 14, 2023 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 1055 Westlakes Dr. Suite 300, Berwyn, PA 19312RIA
BD
CRD#: 44181
Berwyn, PA
Past
July 10, 2015 - July 25, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
BERWYN, PA
Past
July 10, 2015 - July 25, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
BERWYN, PA
Past
March 14, 2006 - July 10, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WAYNE, PA
Past
October 14, 2005 - July 10, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WAYNE, PA
Past
January 25, 1994 - October 17, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
August 6, 1991 - January 31, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 19, 1983 - August 20, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 26, 1978 - February 7, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
June 21, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
Past
September 29, 1977 - May 7, 1978
DEHAVEN & TOWNSEND, CROUTER & BODINE INCORPORATED
BD
CRD#: 210
Past
January 27, 1976 - July 1, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(7/14/2023)
RR
Connecticut(7/14/2023)
RR
Delaware(7/14/2023)
RR
Florida(7/14/2023)
RR
Iowa(7/14/2023)
RR
Kansas(7/14/2023)
RR
Maryland(7/14/2023)
RR
Minnesota(7/14/2023)
RR
Missouri(7/14/2023)
RR
New Jersey(7/14/2023)
RR
New York(7/14/2023)
RR
Ohio(5/9/2024)
RR
Pennsylvania(7/14/2023)
IAR
Pennsylvania(7/14/2023)
RR
South Carolina(7/14/2023)
RR
Texas(8/22/2023)
RR
Virginia(7/14/2023)
RR
Wisconsin(7/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 5/1/1978
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/28/1997
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Phone number
(319) 393-9541
Established
Iowa since 11/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
