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Detailed Report
THOMAS PATRICK FLYNN II
THOMAS PATRICK FLYNN
CRD#: 4310431
IA
Investment Adviser
B
Broker
G.W. SHERWOLD ASSOCIATES, INC.CRD#: 42186 22994 EL TORO ROAD
LAKE FOREST, CA 92630
Registration History
2002200420062008201020122014201620182020202220242026IAG.W. SHERWOLD ASSOCIATES, INC. (CRD# 42186)2017 - Present (8 years)BG.W. SHERWOLD ASSOCIATES, INC (CRD# 42186)2002 - Present (22 years)
License(s)

State Registrations

B
California 7/8/2002
IA
California 2/9/2017

SRO Registrations

B
 FINRA

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
G.W. SHERWOLD ASSOCIATES, INC. (CRD#:42186)
22994 EL TORO ROAD, LAKE FOREST, CA 92630
22994 EL TORO RD, LAKE FOREST, CA 92630
Registered with this firm since 2/9/2017
B
G.W. SHERWOLD ASSOCIATES, INC (CRD#:42186)
22994 EL TORO ROAD, LAKE FOREST, CA 92630
22994 EL TORO ROAD, LAKE FOREST, CA 92630
Registered with this firm since 7/8/2002
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.