Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Mahoney is a financial advisor with Northwestern Mutual Investment Services, LLC. Thomas is a Registered Representative and a Principal with Northwestern Mutual Investment Services, LLC. Thomas is licensed and registered in several states to offer securities and investment advisory services. Thomas has worked in the financial services industry since 1997.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
FL
04/25/2022 - Present
Northwestern Mutual Investment Services, LLC (PALM BCH GDNS FL)
NY
09/06/2017 - 05/17/2021
SCOTIA CAPITAL (USA) INC. (NEW YORK NY)
NY
12/28/2015 - 09/06/2017
BNP PARIBAS PRIME BROKERAGE, INC. (NEW YORK NY)
NY
01/22/2015 - 09/06/2017
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
12/10/2014 - 01/09/2015
SPREADZERO LLC (NEW YORK NY)
NY
04/18/2013 - 01/09/2015
TRADINGSCREEN BROKERAGE SERVICES LLC (New York NY)
NY
09/13/2010 - 03/25/2013
MACQUARIE CAPITAL (USA) INC. (NEW YORK NY)
NY
10/08/2008 - 09/08/2010
BNP PARIBAS PRIME BROKERAGE, INC. (NEW YORK NY)
NY
08/01/2002 - 09/08/2010
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
PA
01/18/1996 - 01/01/2005
BNP PARIBAS BROKERAGE SERVICES, INC. (KING OF PRUSSIA PA)
NA
11/05/1996 - 11/05/1996
BNP SECURITIES (USA), INC.
BOTH
Issued 11/29/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/31/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/09/2022
Series 27 - Financial and Operations Principal Examination
BC
Issued 12/09/2022
Series 24 - General Securities Principal Examination
BC
Issued 12/09/2022
Series 4 - Registered Options Principal Examination
BC
Issued 10/05/1998
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/25/1997
Series 14 - Compliance Officer Examination
BC
Issued 03/10/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2010
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 02/21/2001
Series 3 - National Commodity Futures Examination
BC
Issued 10/02/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/22/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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