Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Maloney is a financial professional with over 25 years of experience in the industry. Thomas has a strong background in securities, having held roles at firms like Tucker Anthony Incorporated, Smith Barney Inc., Oppenheimer & Co., Inc., and currently Needham & Company, LLC. Thomas is also a licensed Investment Advisor Representative. In his current role at Needham & Company, LLC, Thomas provides securities research and portfolio management services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Securities research
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
Pursuant to csa agreements
1
2
NY
08/02/1999 - Present
Needham & Company, LLC (NEW YORK NY)
MA
06/15/1999 - 06/15/1999
TUCKER ANTHONY INCORPORATED (BOSTON MA)
MA
01/16/1998 - 05/14/1999
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NY
06/15/1995 - 01/12/1998
SMITH BARNEY INC. (NEW YORK NY)
NY
10/21/1993 - 02/24/1995
OPPENHEIMER & CO., INC. (NEW YORK NY)
IA
Issued 10/07/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/08/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/08/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/09/2007
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 12/23/1993
Series 3 - National Commodity Futures Examination
BC
Issued 10/20/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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