Thomas A. Mann
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 Allan Mann was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1980. Thomas had worked at 5 firms and has passed the Series 63, SIE 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
August 4, 2016 - March 10, 2025
L.M. KOHN & COMPANY
July 24, 2012 - July 25, 2016
ROYAL SECURITIES COMPANY
January 21, 2011 - July 17, 2012
LEONARD & COMPANY
November 15, 2005 - December 31, 2007
UBS FINANCIAL SERVICES INC.
November 15, 2005 - September 28, 2010
UBS FINANCIAL SERVICES INC.
October 29, 1984 - November 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 1980 - November 16, 2005
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
L.M. KOHN & COMPANY
CRD#: 27913 / SEC#: 801-38116, 8-43303
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,799 |
| AUM (Assets Under Management) | $ 2,091,208,747 |
Disclosures
| Regulatory Event | 1 |
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.
