Thomas S. Shattan
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 Spencer Shattan 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 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2006 - October 4, 2021
BENTLEY SECURITIES CORPORATION
June 30, 2005 - February 3, 2006
VIANT CAPITAL LLC
October 7, 1996 - December 2, 2003
THE SHATTAN GROUP LLC
August 26, 1996 - October 29, 1996
VALUE INVESTING PARTNERS, INC.
November 12, 1992 - May 8, 1996
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1990 - May 28, 1992
KIDDER, PEABODY & CO. INCORPORATED
October 25, 1984 - September 19, 1989
GOLDMAN SACHS & CO. 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
BENTLEY SECURITIES CORPORATION
CRD#: 25759 / SEC#: , 8-41879
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROMWELL, OLIVER DEAN | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 838160 |
Red Flags
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