Thomas B. Vann
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 B Vann, who also goes by Bennett Vann, Thomas Bennett Vann, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2014. Thomas had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2023 - August 31, 2023
FIRST PUBLIC, LLC
July 6, 2022 - May 31, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 4, 2022 - May 31, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 2021 - January 10, 2022
KESTRA ADVISORY SERVICES, LLC
August 31, 2021 - January 10, 2022
KESTRA INVESTMENT SERVICES, LLC
April 5, 2021 - April 15, 2021
PURSHE KAPLAN STERLING INVESTMENTS
September 12, 2018 - September 9, 2019
CITY NATIONAL ROCHDALE
September 12, 2018 - September 9, 2019
CNR SECURITIES, LLC
June 24, 2016 - November 22, 2017
RAYMOND JAMES & ASSOCIATES, INC.
March 4, 2014 - November 22, 2017
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST PUBLIC, LLC
CRD#: 128180 / SEC#: , 8-66105
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
