Mark D. Thomas
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.
Mark Dennis Thomas was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 15 firms and has passed the Series 63 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
December 9, 1999 - July 5, 2001
CANTELLA & CO., INC.
November 17, 1997 - December 20, 1999
FFP SECURITIES, INC.
April 7, 1997 - June 13, 1997
FFP SECURITIES, INC.
April 29, 1994 - April 15, 1997
JOSEPH CHARLES & ASSOC., INC.
November 9, 1993 - January 1, 1994
JOSEPH CHARLES & ASSOC., INC.
September 7, 1993 - October 14, 1993
COMPREHENSIVE CAPITAL CORPORATION
June 6, 1992 - June 24, 1993
BARRON CHASE SECURITIES, INC.
February 2, 1991 - November 7, 1991
SECURITIES AMERICA, INC.
December 17, 1990 - December 31, 1990
TAMARON INVESTMENTS, INC.
May 21, 1990 - November 20, 1990
BRENNAN ROSS SECURITIES, INC.
January 26, 1990 - April 25, 1990
KIMBRIDGE & CO., INC.
January 11, 1990 - February 27, 1990
J. T. MORAN & CO., INC.
August 30, 1989 - January 10, 1990
HASAN GROWNEY CO. INC.
January 13, 1989 - September 12, 1989
ROBYNS CAPITAL CORP.
February 25, 1987 - January 11, 1989
HAMPTON SECURITIES, INC.
December 12, 1986 - March 5, 1987
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 3, 1986 - December 18, 1987
ALLIED CAPITAL GROUP, INC.
May 22, 1986 - July 14, 1986
ALLIED CAPITAL GROUP, 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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
