Thomas W. Briant
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 William Bennetts Briant was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2018 - November 8, 2018
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
April 12, 2016 - June 29, 2018
ATB CAPITAL MARKETS USA INC.
March 6, 2014 - July 6, 2015
EDGECREST CAPITAL (USA) INC.
September 17, 2012 - December 20, 2012
NCP NORTHLAND CAPITAL PARTNERS (USA) INC.
July 27, 2011 - September 10, 2013
EDGECREST CAPITAL (USA) INC.
February 22, 2011 - May 26, 2011
NCP NORTHLAND CAPITAL PARTNERS (USA) INC.
October 27, 2005 - May 7, 2010
GENUITY CAPITAL MARKETS USA CORP.
March 19, 2004 - January 28, 2005
THOMAS WEISEL PARTNERS (USA) INC.
June 14, 2001 - September 25, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
CRD#: 38108 / SEC#: , 8-48233
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE CAPITAL MARKETS CANADA LTD. (FORMERLY ORION SECURITIES INC.) | SHAREHOLDER (PARENT COMPANY) | |
| ALTARAS, ANDRE YEHUDA | CHIEF OPERATING OFFICER (12/2015) | 5625662 |
| CONAHAN, JAMES S | CFO/FINOP | 2538695 |
| CRISTALL, DANIEL JOHN | DIRECTOR | 6254685 |
| DOYLE, JAMES DAVID TATE | DIRECTOR | 7151466 |
| HEBERT-SEYNETT, CHARLES | SUPERVISORY PRINCIPAL | 6620102 |
| ROZIER, STEPHANE | DIRECTOR | 7198309 |
| WONG, AUGUSTINE MING | CHIEF COMPLIANCE OFFICER | 4682800 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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