Thomas A. Mantz
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 Alan Mantz was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 5 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 1988 - February 27, 1989
PLANNED INVESTMENTS INC.
June 25, 1985 - April 19, 1988
G. W. STORY & ASSOCIATES, INC.
October 10, 1983 - July 15, 1985
FIRST AFFILIATED SECURITIES, INC.
April 30, 1979 - November 30, 1983
PLANNED INVESTMENTS INC.
January 26, 1976 - March 10, 1979
DAVE FRIES AND ASSOCIATES
September 24, 1974 - January 22, 1976
CHARTERED INVESTMENT SERVICES, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 9/16/1974
Registered Representative ExaminationCurrent Firm
PLANNED INVESTMENTS INC.
CRD#: 5066 / SEC#: , 8-15412
Contact information
Documents
Red Flags
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