Thomas J. Beno
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 John Beno JR., who also goes by Thomas John Beno Jr, Thomas John Beno, Tom Beno, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2008. Thomas had worked at 5 firms and has passed the Series 65, Series 63 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
February 7, 2018 - August 27, 2018
WEALTH WATCH ADVISORS, INC
April 2, 2012 - December 21, 2012
LPL FINANCIAL LLC
August 19, 2011 - April 4, 2012
VOYA FINANCIAL ADVISORS, INC.
April 15, 2011 - April 4, 2012
VOYA FINANCIAL ADVISORS, INC.
January 7, 2009 - October 21, 2009
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 3, 2008 - October 21, 2009
CAMBRIDGE INVESTMENT RESEARCH, INC.
Primary Firm SEC Registration
WEALTH WATCH ADVISORS, INC
CRD#: 172002 / SEC#: 801-96180
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
Current Firm
WEALTH WATCH ADVISORS, INC
CRD#: 172002 / SEC#: 801-96180
Contact information
SEC notice filing (25 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,556 |
| AUM (Assets Under Management) | $ 473,650,570 |
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.
