Thomas Reyes
Professional summary
Thomas Reyes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Thomas had worked at 11 firms, which includes NEXT FINANCIAL GROUP INC., RAYMOND JAMES FINANCIAL SERVICES ADVISORS INC, RAYMOND JAMES FINANCIAL SERVICES INC., FIRST NATIONAL CAPITAL MARKETS, SECURIAN FINANCIAL SERVICES INC., PRUCO SECURITIES LLC., SECURITIES AMERICA ADVISORS INC., SECURITIES AMERICA INC., MML INVESTORS SERVICES LLC, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2022 - July 5, 2023
NEXT FINANCIAL GROUP, INC.
April 13, 2022 - July 5, 2023
NEXT FINANCIAL GROUP, INC.
June 18, 2015 - March 9, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 17, 2015 - March 9, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 14, 2014 - June 18, 2015
FIRST NATIONAL CAPITAL MARKETS
May 13, 2014 - June 18, 2015
FIRST NATIONAL CAPITAL MARKETS
August 23, 2012 - May 14, 2014
SECURIAN FINANCIAL SERVICES, INC.
August 20, 2012 - May 14, 2014
SECURIAN FINANCIAL SERVICES, INC.
September 7, 2011 - July 30, 2012
PRUCO SECURITIES, LLC.
April 12, 2011 - July 30, 2012
PRUCO SECURITIES, LLC.
January 5, 2007 - April 1, 2011
SECURITIES AMERICA ADVISORS, INC.
December 18, 2006 - April 1, 2011
SECURITIES AMERICA, INC.
February 27, 2002 - December 20, 2006
MML INVESTORS SERVICES, LLC
February 1, 2002 - December 20, 2006
MML INVESTORS SERVICES, LLC
June 30, 1999 - February 6, 2002
IDS LIFE INSURANCE COMPANY
June 30, 1999 - February 6, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
Red Flags
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