Thomas B. Evans
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 Beverley Evans III, who also goes by Thomas Beverley Evans, Tom Evans, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 12 firms and has passed the Series 63, SIE 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
July 14, 2023 - June 20, 2024
TJM INVESTMENTS, LLC
April 24, 2018 - July 19, 2023
WHITAKER SECURITIES LLC
January 6, 2018 - April 25, 2018
B. RILEY SECURITIES, INC.
January 3, 2011 - April 25, 2018
B. RILEY WEALTH MANAGEMENT
February 14, 2005 - January 10, 2011
NEWEDGE USA, LLC
July 1, 1998 - May 23, 2000
COWEN AND COMPANY
March 1, 1994 - July 1, 1998
FINANCIAL SQUARE PARTNERS
February 3, 1992 - January 1, 1994
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 30, 1991 - June 6, 1991
CEDAR STREET SECURITIES CORP.
October 25, 1990 - April 30, 1991
MABON, NUGENT & CO.
November 12, 1988 - September 11, 1990
O'CONNOR, PAUL & PHILLIPS, INC.
January 5, 1988 - November 7, 1988
ETON SECURITIES CORP.
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
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
Disclosures
| Regulatory Event | 12 |
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.
