Byron A. Thomas
Professional summary
Byron Alan Thomas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Byron is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, Byron had worked at 3 firms, which includes CADARET GRANT & CO. INC., WS GRIFFITH SECURITIES INC., VP DISTRIBUTORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 1998 - September 24, 2003
CADARET, GRANT & CO., INC.
August 31, 1994 - June 1, 2010
CADARET, GRANT & CO., INC.
August 30, 1993 - October 11, 1994
WS GRIFFITH SECURITIES, INC.
October 26, 1982 - August 30, 1993
VP DISTRIBUTORS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
