Thomas L. Grant
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 Leatherbury Grant, who also goes by Thomas Grant, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2007. Thomas had worked at 3 firms and has passed the Series 66, 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
July 12, 2021 - December 31, 2021
ILA CAPITAL
August 11, 2016 - December 31, 2020
ILA CAPITAL
April 19, 2011 - February 12, 2015
BBVA SECURITIES INC.
October 10, 2007 - November 18, 2010
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ILA CAPITAL
CRD#: 282368 / SEC#: 802-125708
Contact information
Documents
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 4/20/2022 |
| Massachusetts | ERA - Withdrawn - Failed to Renew | 12/31/2025 |
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.
