Thomas C. Ballantyne
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 Clinton Ballantyne, who also goes by Tom Ballantyne, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 8 firms and has passed the Series 63, Series 3, 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
October 5, 1992 - October 27, 1992
VINING-SPARKS IBG, LLC
January 30, 1992 - September 23, 1992
FORESTERS EQUITY SERVICES, INC.
June 7, 1991 - August 8, 1991
MONACO SECURITIES, INC.
August 14, 1990 - May 9, 1991
BILTMORE EQUITIES & SECURITIES, LTD.
February 16, 1989 - August 14, 1990
FIRST AMERICAN BILTMORE SECURITIES, INC.
February 6, 1988 - February 13, 1989
AMBANC SECURITIES, INC.
November 13, 1987 - February 10, 1988
PRINCETON AMERICAN EQUITIES CORPORATION
February 7, 1986 - June 11, 1987
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
VINING-SPARKS IBG, LLC
CRD#: 27502 / SEC#: , 8-43150
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
Red Flags
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