Thomas Warnock

ASHTON STEWART & CO.

Miami, FL 33131

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CRD#: 1675741

Professional summary

Thomas Warnock is a registered financial professional currently at ASHTON STEWART & CO., INC. located in Miami, Florida.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 13 firms and has passed the Series 63, Series 72, Series 62, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Warnock's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 26, 2022 - Present

ASHTON STEWART & CO., INC.

Office #1: 1395 Brickell Ave Suite 800, Miami, FL 33131

CRD#: 112386

Miami, FL

Past

September 18, 2018 - February 7, 2020

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

May 2, 2016 - September 6, 2018

CASTLEOAK SECURITIES, LP

CRD#: 125334

NEW YORK, NY

Past

February 16, 2010 - October 22, 2014

NABSECURITIES, LLC

CRD#: 47390

NEW YORK, NY

Past

November 20, 2008 - December 7, 2009

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

June 19, 2006 - April 23, 2008

ABN AMRO INCORPORATED

CRD#: 15776

NEW YORK, NY

Past

October 3, 2005 - October 1, 2007

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

June 2, 2004 - October 5, 2005

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

May 14, 1999 - June 4, 2004

BANC ONE CAPITAL MARKETS, INC.

CRD#: 23065

CHICAGO, IL

Past

April 19, 1999 - May 11, 1999

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Past

April 16, 1999 - May 10, 1999

TULLETT LIBERTY BROKERAGE INC.

CRD#: 19717

JERSEY CITY, NJ

Past

December 8, 1998 - April 13, 1999

INTERCAPITAL GOVERNMENT SECURITIES INC.

CRD#: 19710

NEW YORK, NY

Past

January 1, 1992 - June 25, 1998

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

May 21, 1987 - January 1, 1992

MANUFACTURERS HANOVER SECURITIES CORPORATION

CRD#: 14434

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(1/26/2022)

Exams

State Security Law Exam

Series 63

Date: 6/2/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 72

Date: 1/2/2023

Government Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 1/2/2023

Corporate Securities Limited Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/2/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/30/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ASHTON STEWART & CO., INC.

ASHTON STEWART & CO., INC. | VANTAGE SECURITIES, INC. | MAS TRADE.NET INC. | MAS CAPITAL SECURITIES, INC.

CRD#: 112386 / SEC#: , 8-53239

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

1395 Brickell Ave Suite 800, Miami, FL 33131

Mailing Address

1395 Brickell Ave Suite 800, Miami, FL 33131

Phone number

(646) 868-5410

Established

Indiana since 09/27/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ASHTON STEWART INTERNATIONAL HOLDINGS, LLC	SHAREHOLDER
BURMAN, ANATOLY	CEO/CCO	1652002

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas Warnock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Warnock's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMER & CO. INC.

CASTLEOAK SECURITIES, LP

NABSECURITIES, LLC

MAXIM GROUP LLC

ABN AMRO INCORPORATED

LASALLE FINANCIAL SERVICES, INC.

ABN AMRO INCORPORATED

BANC ONE CAPITAL MARKETS, INC.

TULLETT PREBON FINANCIAL SERVICES LLC

TULLETT LIBERTY BROKERAGE INC.

INTERCAPITAL GOVERNMENT SECURITIES INC.

J.P. MORGAN SECURITIES INC.

MANUFACTURERS HANOVER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 6/2/1987

Series 72

Date: 1/2/2023

Series 62

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 5/2/1989

Series 7

Date: 5/16/1987

Series 24

Date: 9/30/2004

FINRA

Current Firm

ASHTON STEWART & CO., INC.

Contact information

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASHTON STEWART & CO., INC.

TRUST BUT VERIFY

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