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Detailed Report
Thomas P Molloy
THOMAS P MOLLOY, THOMAS PETER MOLLOY
CRD#: 2298412
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 390 Madison Ave
Floor 05, 06, 14
New York, NY 10017
Registration History
19952000200520102015202020252 FIRMS2006 - 2013 (7 years)2 FIRMS2013 - Present (11 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1998 - 2006 (7 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1993 - 1997 (3 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1993 - 1993 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1992 - 1993 (<1 year)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2005 - 2006 (1 year)
License(s)

State Registrations

B
Alabama 8/1/2013
B
Nevada 8/1/2013
B
Alaska 8/19/2013
B
New Hampshire 8/1/2013
B
Arizona 8/1/2013
B
New Jersey 8/1/2013
B
Arkansas 8/1/2013
IA
New Jersey 8/1/2013
B
California 8/1/2013
B
New Mexico 8/1/2013
B
Colorado 8/1/2013
B
New York 8/1/2013
B
Connecticut 8/1/2013
B
North Carolina 8/1/2013
B
Delaware 8/12/2013
IA
North Carolina 8/8/2013
B
District of Columbia 2/12/2016
B
North Dakota 8/1/2013
B
Florida 8/1/2013
B
Ohio 8/1/2013
B
Georgia 8/1/2013
IA
Ohio 8/1/2013
B
Hawaii 8/29/2013
B
Oklahoma 8/21/2013
B
Idaho 8/1/2013
B
Oregon 8/1/2013
B
Illinois 8/1/2013
B
Pennsylvania 8/1/2013
B
Indiana 8/20/2013
B
Puerto Rico 2/12/2016
B
Iowa 8/1/2013
B
Rhode Island 8/1/2013
B
Kansas 8/1/2013
B
South Carolina 8/1/2013
B
Kentucky 8/1/2013
B
South Dakota 8/1/2013
B
Louisiana 8/1/2013
B
Tennessee 8/1/2013
IA
Louisiana 9/11/2013
B
Texas 8/1/2013
B
Maine 8/1/2013
IA
Texas 8/5/2013
B
Maryland 8/1/2013
B
Utah 8/1/2013
B
Massachusetts 8/1/2013
B
Vermont 8/1/2013
B
Michigan 8/1/2013
B
Virgin Islands 2/12/2016
B
Minnesota 8/1/2013
B
Virginia 8/1/2013
B
Mississippi 8/1/2013
B
Washington 8/1/2013
B
Missouri 8/1/2013
B
West Virginia 8/1/2013
B
Montana 8/9/2013
B
Wisconsin 8/1/2013
B
Nebraska 8/1/2013
B
Wyoming 8/1/2013

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
390 Madison Ave Floor 05, 06, 14, New York, NY 10017
Middletown, NJ
Registered with this firm since 8/1/2013
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
390 Madison Ave Floor 05, 06, 14, New York, NY 10017
Middletown, NJ
Registered with this firm since 8/1/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/25/2006 - 07/31/2013 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 04/19/2006 - 07/31/2013 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
IA
 01/06/2005 - 03/30/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) RED BANK, NJ
B
 12/22/1998 - 03/30/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 09/28/1993 - 02/21/1997 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 06/18/1993 - 08/11/1993 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
 12/09/1992 - 06/03/1993 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.