Thomas J. Banna
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 Joseph Banna was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2008. Thomas had worked at 4 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2013 - August 12, 2014
LEGEND ADVISORY, LLC
March 20, 2013 - August 12, 2014
LEGEND EQUITIES CORPORATION
July 19, 2011 - January 25, 2013
OSAIC SERVICES, INC.
May 12, 2010 - June 29, 2010
OSAIC SERVICES, INC.
May 6, 2010 - July 8, 2011
OSAIC SERVICES, INC.
April 18, 2008 - May 26, 2010
LPL FINANCIAL LLC
February 8, 2008 - May 26, 2010
LPL FINANCIAL LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEGEND ADVISORY, LLC
CRD#: 104761 / SEC#: 801-13887
Contact information
Red Flags
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