Yvonne Thomas
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.
Yvonne Thomas, who also goes by Yvonne Renee Dewey, Yvonne Renee Thomas, was a registered financial professional .
Yvonne is a previously registered financial professional and started their career in finance in 2008. Yvonne had worked at 4 firms and has passed the Series 7TO, 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
December 6, 2018 - November 11, 2020
INVICTA CAPITAL LLC
May 1, 2017 - November 29, 2018
TRUSTMONT FINANCIAL GROUP, INC.
December 6, 2012 - May 20, 2015
SECURITIES SERVICE NETWORK, LLC
November 4, 2008 - December 19, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
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 7TO
Date: 3/14/2024
General Securities Representative ExaminationCurrent Firm
INVICTA CAPITAL LLC
CRD#: 288101 / SEC#: , 8-69923
Contact information
FINRA licenses (36 States and Territories)
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.
