Thomas W. Hannon
Professional summary
Thomas William Hannon was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Thomas had worked at 16 firms, which includes HARMONIC RESEARCH INC., SPENCER CLARKE LLC, MONARCH FINANCIAL CORPORATION OF AMERICA, FIRST MONTAUK SECURITIES CORP., MARSH BLOCK & CO. INC., NASH WEISS & CO., TOLUCA PACIFIC SECURITIES CORP., AUGMENT SECURITIES INC., BLUESTONE CAPITAL CORP., LAIDLAW GLOBAL SECURITIES INC., JOSEPHTHAL & CO. INC., FINANCIAL CLEARING & SERVICES CORPORATION, JJC SECURITIES CO. INC., EVANS & CO. INC., INVESTORS CENTER INC., GALLANT SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 1998 - October 15, 2003
HARMONIC RESEARCH, INC.
November 3, 1997 - June 30, 1998
SPENCER CLARKE LLC
August 4, 1997 - September 20, 1997
MONARCH FINANCIAL CORPORATION OF AMERICA
June 24, 1997 - July 23, 1997
FIRST MONTAUK SECURITIES CORP.
April 10, 1996 - May 27, 1998
MARSH, BLOCK & CO. INC.
July 25, 1995 - February 29, 1996
NASH, WEISS & CO.
July 12, 1995 - July 14, 1995
TOLUCA PACIFIC SECURITIES CORP.
November 9, 1994 - April 5, 1995
AUGMENT SECURITIES INC.
July 12, 1993 - August 30, 1994
BLUESTONE CAPITAL CORP.
April 8, 1992 - July 19, 1993
LAIDLAW GLOBAL SECURITIES, INC.
October 14, 1991 - April 8, 1992
JOSEPHTHAL & CO., INC.
April 25, 1990 - July 25, 1990
MARSH, BLOCK & CO. INC.
October 30, 1989 - January 27, 1990
FINANCIAL CLEARING & SERVICES CORPORATION
December 14, 1988 - January 1, 1989
JJC SECURITIES CO., INC.
March 27, 1985 - December 3, 1988
EVANS & CO., INC.
November 13, 1984 - April 11, 1985
INVESTORS CENTER, INC.
January 4, 1983 - February 29, 1984
GALLANT SECURITIES, INC.
September 1, 1977 - December 8, 1982
EVANS & CO., 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 55
Date: 4/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
HARMONIC RESEARCH, INC.
CRD#: 37704 / SEC#: , 8-47931
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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