Thomas M. Bonik
Professional summary
Thomas Michael Bonik was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Thomas had worked at 10 firms, which includes NTB FINANCIAL CORPORATION, LPL FINANCIAL LLC, UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., ROCKY MOUNTAIN SECURITIES & INVESTMENTS INC., R.B. MARICH INC., AMERICAN FRONTEER FINANCIAL CORPORATION, MILLS FINANCIAL SERVICES INC., E. F. HUTTON & COMPANY INC, AMERICAN WESTERN SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 1998 - August 27, 2020
NTB FINANCIAL CORPORATION
January 11, 1990 - July 13, 1998
LPL FINANCIAL LLC
May 12, 1988 - February 5, 1990
UBS FINANCIAL SERVICES INC.
March 14, 1985 - May 26, 1988
MORGAN STANLEY DW INC.
December 21, 1984 - January 14, 1985
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
September 2, 1983 - November 26, 1984
R.B. MARICH, INC.
October 21, 1982 - March 21, 1983
AMERICAN FRONTEER FINANCIAL CORPORATION
August 3, 1982 - January 2, 1985
MILLS FINANCIAL SERVICES, INC.
February 3, 1981 - August 29, 1983
AMERICAN FRONTEER FINANCIAL CORPORATION
September 6, 1979 - March 4, 1981
MORGAN STANLEY DW INC.
August 2, 1978 - April 4, 1986
E. F. HUTTON & COMPANY INC
June 1, 1978 - September 8, 1978
AMERICAN WESTERN SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Red Flags
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