Thomas V. Blanton
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 Vinson Blanton JR, who also goes by Thomas VInson Blanton, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1973. Thomas had worked at 4 firms and has passed the Series 63, Series 3, Series 15, Series 1, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 1984 - September 15, 1987
PRUDENTIAL EQUITY GROUP, LLC
February 1, 1979 - May 22, 1984
ALEX. BROWN & SONS INCORPORATED
May 19, 1978 - February 19, 1980
ANDERSON & STRUDWICK, INCORPORATED
October 17, 1975 - June 11, 1978
SCOTT & STRINGFELLOW, INC.
March 22, 1973 - November 20, 1975
ANDERSON & STRUDWICK, INCORPORATED
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
Series 15
Date: 9/12/1983
Foreign Currency Options ExaminationSeries 1
Date: 3/20/1973
Registered Representative ExaminationSeries 40
Date: 9/12/1978
Registered Principal ExaminationSeries 12
Date: 6/26/1978
NYSE Branch Manager ExaminationCurrent Firm
PRUDENTIAL EQUITY GROUP, LLC
CRD#: 7471 / SEC#: , 8-27154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | SHAREHOLDER DIRECT | |
| BAVARO, MARGUERITE ANNE | CHIEF OPERATIONS OFFICER | 722294 |
| DUGAN, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | 1604211 |
| RICE, JUDY ANN | MANAGER | 67215 |
| SHEA, MICHAEL JOSEPH | MANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 1014613 |
| STRANGFELD, JOHN ROBERT JR | MANAGER & CHAIRMAN OF THE BOARD | 1301812 |
Disclosures
| Regulatory Event | 288 |
| Civil Event | 1 |
| Arbitration | 579 |
Red Flags
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