Individual Firm
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JOHN THOMAS MOUGEY
TOM MOUGEY
CRD#: 1157582
IA
B
NEWEDGE ADVISORSCRD#: 171351 200 E. Morris Avenue
Hammond, LA 70403
Hammond, LA 70403
LPL FINANCIAL LLCCRD#: 6413 200 E MORRIS AVE
HAMMOND, LA 70403
HAMMOND, LA 70403
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12/9/2008
Customer Dispute
Denied
12/3/1971
Criminal
Final Disposition
State Registrations
B
Alabama 4/9/2024
B
Massachusetts 3/22/2024
B
Arizona 3/22/2024
B
Mississippi 3/22/2024
B
Colorado 3/22/2024
B
New York 3/22/2024
B
District of Columbia 3/22/2024
B
North Carolina 3/22/2024
B
Florida 3/22/2024
B
Texas 3/22/2024
B
Georgia 3/22/2024
IA
Texas 3/22/2024
B
Louisiana 3/22/2024
B
Virginia 3/22/2024
IA
Louisiana 3/22/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 3/22/2024
B
Registered with this firm since 3/22/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/09/2011 - 04/01/2024 | HAMMOND, LA | |
B | 12/09/2011 - 04/01/2024 | HAMMOND, LA | |
IA | 03/04/2010 - 12/09/2011 | HAMMOND, LA | |
B | 01/01/2008 - 12/09/2011 | HAMMOND, LA | |
B | 07/21/1983 - 01/03/2008 | HAMMOND, LA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.