Thomas Y. Lanier
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 Young Lanier, who also goes by Tom Lanier, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 6 firms and has passed the Series 63, Series 7, Series 52, Series 4, Series 53 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
February 23, 1994 - August 31, 1994
BIRCHTREE FINANCIAL SERVICES LLC
July 2, 1993 - December 29, 1993
DICKINSON & CO.
October 3, 1988 - July 22, 1993
HEIDTKE & COMPANY, INC.
December 1, 1987 - October 13, 1988
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
November 4, 1987 - December 8, 1987
BRENNER STEED, INC.
March 27, 1985 - November 9, 1987
SWINK & COMPANY, 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
Exams
Current Firm
BIRCHTREE FINANCIAL SERVICES LLC
CRD#: 15014 / SEC#: , 8-31632
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
