Thomas L. Gardner
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 L Gardner, who also goes by Thomas Lee Gardner, Thomas Gardner, Tom L Gardner, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2006. Thomas had worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 87, Series 86, 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
January 23, 2018 - December 5, 2023
ENTORO SECURITIES, LLC
February 17, 2017 - August 1, 2017
SOLOMON PARTNERS SECURITIES, LLC
June 22, 2016 - February 6, 2017
SOLOMON PARTNERS SECURITIES, LLC
December 15, 2015 - June 3, 2016
NATIXIS SECURITIES AMERICAS LLC
January 24, 2014 - October 20, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 2006 - November 2, 2009
SIMMONS & COMPANY INTERNATIONAL
State Registrations and Notice Filings
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Exams
Current Firm
ENTORO SECURITIES, LLC
CRD#: 35192 / SEC#: , 8-46630
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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