Thomas Warnock
Professional Summary
Thomas Warnock is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
ASHTON STEWART & CO., INC. | VANTAGE SECURITIES, INC. | MAS TRADE.NET INC. | MAS CAPITAL SECURITIES, INC.
Contact Information
Main Address
1395 Brickell Ave Suite 800, Miami, FL 33131Mailing Address
1395 Brickell Ave Suite 800, Miami, FL 33131Phone Number
(646) 868-5410Established
Indiana since 09/27/1999Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (44 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASHTON STEWART INTERNATIONAL HOLDINGS, LLC | SHAREHOLDER | — |
| BURMAN, ANATOLY | CEO/CCO | 1652002 |
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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.
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State Registrations and Notice Filings
(1/26/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 72 — Government Securities Representative Examination
Passed Jan 2023Series 62 — Corporate Securities Limited Representative Examination
Passed Jan 2023SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Warnock's CRS (Customer Relationship Summary).
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