Thomas A. Bent
Professional summary
Thomas Alan Bent, who also goes by Thomas Alan Bent Jr, Thomas Alan Jr Bent, is a registered financial professional currently at PRIME EXECUTIONS, INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2002. Thomas has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 7A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Alan Bent's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 7, 2008 - Present
PRIME EXECUTIONS, INC.
Office #1: 11 Wall Street (nyse Trading Floor)., New York, NY 10005May 19, 2008 - November 10, 2008
BATTENKILL CAPITAL, INC.
April 26, 2002 - March 17, 2008
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/25/2013)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7A
Date: 8/27/2003
Floor Broker Representative ExamFINRA
New York Stock Exchange
Current Firm
PRIME EXECUTIONS, INC.
CRD#: 32889 / SEC#: , 8-43985
Contact information
FINRA licenses (36 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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