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Detailed Report
THOMAS JAMES HAGAN
CRD#: 1259122
IA
Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
1990199520002005201020152020IAMORGAN STANLEY (CRD# 149777)2015 - 2021 (5 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2006 - 2015 (9 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)1987 - 2006 (19 years)
Disclosure(s)
View By:
11/9/2021
Regulatory
Final
8/20/2021
Regulatory
Final
1/11/2021
Employment Separation After Allegations
2/1/2000
Customer Dispute
Settled
8/26/1998
Customer Dispute
Settled
Previous Registration(s)
th hidden textth hidden textNameLocation
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 11/06/2015 - 02/03/2021 MORGAN STANLEY (CRD#:149777) SARASOTA, FL
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 05/19/2006 - 11/10/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) LAKEWOOD RANCH, FL
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 03/06/1987 - 05/23/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) SARASOTA, FL
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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.
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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
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.