Thomas E. Brenner
Professional summary
Thomas Edward Brenner JR was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Thomas had worked at 5 firms, which includes FIRST AMERICAN SECURITIES INC., OAK STREET SECURITIES INC., FIRST ALLIED SECURITIES INC., RAYMOND JAMES FINANCIAL SERVICES INC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2012 - June 22, 2016
FIRST AMERICAN SECURITIES, INC.
November 23, 2011 - June 22, 2016
FIRST AMERICAN SECURITIES, INC.
December 3, 2010 - November 23, 2011
OAK STREET SECURITIES, INC.
August 11, 2010 - November 23, 2011
OAK STREET SECURITIES, INC.
September 13, 2007 - August 9, 2010
FIRST ALLIED SECURITIES, INC.
July 27, 2007 - August 9, 2010
FIRST ALLIED SECURITIES, INC.
October 18, 1999 - July 31, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 11, 1991 - July 31, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 25, 1986 - June 26, 1991
EDWARD JONES
State Registrations and Notice Filings
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Exams
Current Firm
FIRST AMERICAN SECURITIES, INC.
CRD#: 35841 / SEC#: 801-61017, 8-47094
Contact information
Disclosures
| Regulatory Event | 4 |
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