Thomas S. Miner
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 Spencer Miner, who also goes by Tom S Miner, Tom Spencer Miner, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 9 firms and has passed the Series 65, 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
March 16, 2018 - March 26, 2020
TREEHOUSE WEALTH ADVISORS
February 26, 2016 - January 3, 2022
GARRISON POINT FUNDS, LLC
January 28, 2014 - December 31, 2014
GARRISON POINT FUNDS, LLC
December 3, 2012 - December 1, 2017
SAN FRANCISCO SENTRY INVESTMENT GROUP
November 2, 2012 - January 4, 2022
GARRISON POINT CAPITAL, LLC
November 1, 2012 - December 1, 2017
S F SENTRY SECURITIES, INC.
August 6, 2010 - October 24, 2012
BARCLAYS CAPITAL INC.
April 24, 2009 - October 24, 2012
BARCLAYS CAPITAL INC.
July 25, 1990 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
July 25, 1990 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
July 25, 1990 - July 27, 2007
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
TREEHOUSE WEALTH ADVISORS
CRD#: 292016 / SEC#: 801-112623
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
TREEHOUSE WEALTH ADVISORS
CRD#: 292016 / SEC#: 801-112623
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 739 |
| AUM (Assets Under Management) | $ 536,998,730 |
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.
