Thomas G. Bennett
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 Gray Bennett, who also goes by Tom Bennett, was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1980. Thomas had worked at 7 firms and has passed the Series 65, Series 63, 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
March 23, 2004 - April 4, 2005
MORGAN KEEGAN & COMPANY, LLC
May 21, 2002 - April 4, 2005
MORGAN KEEGAN & COMPANY, LLC
August 14, 2000 - June 12, 2002
UBS FINANCIAL SERVICES INC.
May 9, 1997 - August 14, 2000
J.C. BRADFORD & CO.
February 24, 1993 - May 21, 1997
LPL FINANCIAL LLC
July 20, 1987 - March 2, 1993
ADVEST, INC.
March 27, 1984 - August 6, 1987
PRUDENTIAL EQUITY GROUP, LLC
August 17, 1981 - April 11, 1984
UBS FINANCIAL SERVICES INC.
October 23, 1980 - July 31, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
