Thomas L. Davenport
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 Leon Davenport II, who also goes by Thomas Leon Davenport, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2003. Thomas had worked at 7 firms and has passed the Series 63, Series 79TO, 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
July 18, 2022 - February 14, 2024
NEXTGEN CAPITAL MARKETS, LLC
September 27, 2021 - October 1, 2021
INDEPENDENT INVESTMENT BANKERS, CORP.
July 22, 2017 - February 8, 2021
SIKICH CORPORATE FINANCE LLC
March 21, 2013 - September 23, 2016
INDEPENDENT INVESTMENT BANKERS, CORP.
March 1, 2010 - September 13, 2012
WILLIAM BLAIR
September 30, 2008 - February 11, 2010
CITIGROUP GLOBAL MARKETS INC.
October 6, 2003 - May 23, 2005
E*TRADE SECURITIES LLC
July 24, 2003 - October 23, 2003
TRIAD ADVISORS LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
NEXTGEN CAPITAL MARKETS, LLC
CRD#: 170421 / SEC#: , 8-69418
Contact information
FINRA licenses (7 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.
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