Thomas D. Vann
Professional summary
Thomas Deane Vann, who also goes by Tom Vann, is a registered financial advisor currently at VANN INVESTMENTS LLC located in Castle Rock, Colorado.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. Thomas has worked at 7 firms and has passed the Series 63, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Deane Vann's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 1, 1999 - Present
VANN INVESTMENTS LLC
January 1, 1999 - October 21, 2003
OSAIC WEALTH, INC.
August 7, 1991 - October 21, 2003
OSAIC WEALTH, INC.
January 23, 1990 - July 23, 1991
JJC SECURITIES CO., INC.
July 7, 1989 - February 5, 1990
HANIFEN, IMHOFF SECURITIES CORP.
June 9, 1987 - July 29, 1989
PRUDENTIAL EQUITY GROUP, LLC
August 8, 1980 - December 10, 1983
UBS FINANCIAL SERVICES INC.
July 21, 1980 - June 19, 1987
UBS FINANCIAL SERVICES INC.
December 1, 1976 - August 18, 1980
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/1/1999)
Exams
PC
Date: 11/20/1976
AMEX Put and Call ExamCurrent Firm
VANN INVESTMENTS LLC
CRD#: 112458 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 12,373,053 |
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.
