Thomas Bennett Main
Professional Summary
Thomas Bennett Main is a registered financial advisor currently at DINAN CAPITAL ADVISORS located in Phoenix, Arizona. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2012. Thomas has worked at 1 firm and has passed the Series 63, SIE, Series 79 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
CERES CAPITAL ADVISORS | DINAN CAPITAL ADVISORS, CERES CAPITAL ADVISORS | DINAN CAPITAL ADVISORS | DCCA SECURITIES, LLC
Contact Information
Main Address
307 N Gateway Blvd, Phoenix, AZ 85008-6589Mailing Address
307 N Gateway Blvd, Phoenix, AZ 85008-6589Phone Number
(855) 955-1500Established
Arizona since 02/16/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (6 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/5/2012)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Sep 2011About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Bennett Main's CRS (Customer Relationship Summary).
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