Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
THOMAS MICHAEL MULDOON
CRD#: 6806059
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 1016 2ND AVE NORTH SUITE 206D
SECOND AVENUE EXECUTIVE CENTER
NORTH MYRTLE BEACH, SC 29582
Registration History
201620172018201920202021202220232024202520262 FIRMS2024 - Present (<1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)2018 - 2024 (6 years)BNYLIFE SECURITIES LLC (CRD# 5167)2017 - 2018 (1 year)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2020 - 2024 (4 years)
Disclosure(s)
View By:
1/27/2016
Financial
Final
License(s)

State Registrations

B
Connecticut 11/14/2024
B
North Carolina 11/14/2024
B
Delaware 11/14/2024
IA
North Carolina 11/14/2024
B
Florida 11/18/2024
B
Oklahoma 11/14/2024
B
Maryland 11/14/2024
B
Pennsylvania 1/17/2025
B
Missouri 11/14/2024
B
South Carolina 11/14/2024
B
New York 11/14/2024
IA
South Carolina 11/14/2024

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
LPL ENTERPRISE, LLC (CRD#:8733)
1016 2ND AVE NORTH SUITE 206D SECOND AVENUE EXECUTIVE CENTER, NORTH MYRTLE BEACH, SC 29582
Registered with this firm since 11/14/2024
B
LPL ENTERPRISE, LLC (CRD#:8733)
1016 2ND AVE NORTH SUITE 206D SECOND AVENUE EXECUTIVE CENTER, NORTH MYRTLE BEACH, SC 29582
Registered with this firm since 11/14/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/19/2020 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) North Myrtle Beach, SC
B
 09/26/2018 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) North Myrtle Beach, SC
B
 08/24/2017 - 09/13/2018 NYLIFE SECURITIES LLC (CRD#:5167) WALTHAM, MA
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.