Thomas E. Bentz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Earl Bentz, who also goes by Tom Bentz, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 7 firms and has passed the Series 63, Series 22 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2011 - December 5, 2013
WALL AND COMPANY SECURITIES, INC.
July 23, 2010 - August 9, 2011
GUARDIAN DIRECT ENERGY PROGRAMS, INC.
March 19, 2007 - February 11, 2011
M & W FINANCIAL INC.
May 14, 1990 - May 11, 1995
SECURIAN FINANCIAL SERVICES, INC.
November 1, 1988 - May 15, 1990
MONARCH SECURITIES, INC.
May 25, 1984 - November 20, 1986
NEW ENGLAND SECURITIES
February 24, 1984 - May 22, 1984
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
WALL AND COMPANY SECURITIES, INC.
CRD#: 40894 / SEC#: , 8-49257
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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