Thomas R. Ebner
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 Raymond Ebner, who also goes by Thomas Ebner, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 1 firm and has passed the Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2000 - March 30, 2009
BANC OF AMERICA SPECIALIST, 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 21
Date: 11/16/1999
NYSE Front Line Specialist ClerkSeries 25
Date: 6/22/1999
NYSE Trading Assistant ExaminationCurrent Firm
BANC OF AMERICA SPECIALIST, INC.
CRD#: 103971 / SEC#: , 8-52439
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NB HOLDINGS CORPORATION | STOCK HOLDER | |
| CAWLEY, KATHLEEN | CHIEF COMPLIANCE OFFICER & GENERAL PRINCIPAL | 1129804 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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