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Thomas H. Redmond

Some features on this profile are disabled
CRD#: 4116004
TR

Professional summary

Thomas Heflin Redmond JR. was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Thomas had worked at 9 firms, which includes PROVIDENT CAPITAL MANAGEMENT INC, VANTAGE ADVISORS LLC, NEXT FINANCIAL GROUP INC., CAPITAL FINANCIAL SERVICES INC., JESUP & LAMONT ADVISORS, EMPIRE FINANCIAL GROUP INC., FREEDOM FINANCIAL INC., SII INVESTMENTS INC., SICOR SECURITIES INC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 9, 2010 - June 6, 2012

PROVIDENT CAPITAL MANAGEMENT INC

RIA
CRD#: 133898
CARMEL, IN
Past

March 12, 2010 - April 14, 2010

VANTAGE ADVISORS, LLC

RIA
CRD#: 126844
INDIANAPOLIS, IN
Past

December 6, 2007 - October 14, 2009

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
INDIANAPOLIS, IN
Past

December 6, 2007 - October 14, 2009

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
INDIANAPOLIS, IN
Past

November 14, 2006 - November 16, 2007

CAPITAL FINANCIAL SERVICES, INC.

RIA
CRD#: 8408
CARMEL, IN
Past

August 26, 2005 - November 16, 2007

CAPITAL FINANCIAL SERVICES, INC.

BD
CRD#: 8408
CARMEL, IN
Past

August 31, 2004 - August 16, 2005

JESUP & LAMONT ADVISORS

RIA
CRD#: 108006
CARMEL, IN
Past

November 20, 2003 - August 16, 2005

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
LONGWOOD, FL
Past

March 8, 2002 - November 20, 2003

FREEDOM FINANCIAL, INC.

BD
CRD#: 45850
OMAHA, NE
Past

March 5, 2001 - March 22, 2002

SII INVESTMENTS, INC.

BD
CRD#: 2225
APPLETON, WI
Past

February 2, 2000 - December 19, 2000

SICOR SECURITIES INC

BD
CRD#: 16195
DAYTON, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/13/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/15/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 3/9/2005
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 9/20/2002
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/1/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PC
PROVIDENT CAPITAL MANAGEMENT INC
PROVIDENT CAPITAL MANAGEMENT INC

CRD#: 133898 / SEC#: 801-77108

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Contact information

Main Address
11595 N. Meridian St Suite 140, Carmel, IN 46032-4544
Mailing Address
Phone number
(317) 705-1999
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts385
AUM (Assets Under Management)$ 51,392,901

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.

Company Information

PROVIDENT CAPITAL MANAGEMENT INC

CRD#: 133898

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