Benjamin S. Thomas
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.
Benjamin S Thomas, who also goes by Ben Sawyer Thomas, Benjamin Sawyer Thomas, Ben S Thomas, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2021. Benjamin had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2023 - November 11, 2024
EATON VANCE MANAGEMENT
April 28, 2023 - November 11, 2024
EATON VANCE DISTRIBUTORS, INC.
August 12, 2021 - March 23, 2022
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
EATON VANCE MANAGEMENT
CRD#: 104859 / SEC#: 801-15930
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 8/11/2021
General Securities Representative ExaminationCurrent Firm
EATON VANCE MANAGEMENT
CRD#: 104859 / SEC#: 801-15930
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,053 |
| AUM (Assets Under Management) | $ 84,879,368,900 |
Red Flags
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