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Detailed Report
Thomas E Bennett
THOM BENNETT, THOMAS ERIC BENNETT, TOM E BENNETT, TOM BENNETT
CRD#: 6484830
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 401 Jacaranda Blvd
Venice, FL 34292
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2016 - 2018 (2 years)2 FIRMS2018 - Present (6 years)BTHRIVENT INVESTMENT MANAGEMENT... (CRD# 18387)2015 - 2016 (1 year)IATHRIVENT INVESTMENT MANAGEMENT... (CRD# 18387)2016 - 2016 (<1 year)
License(s)

State Registrations

B
Alabama 10/31/2018
B
Michigan 12/10/2021
B
Arizona 10/31/2018
B
Missouri 10/31/2018
B
Arkansas 10/31/2018
B
New Hampshire 10/31/2018
B
California 10/31/2018
B
New Jersey 6/16/2021
B
Colorado 10/31/2018
B
New York 10/31/2018
B
Connecticut 2/14/2023
B
North Carolina 10/30/2018
B
Florida 10/31/2018
B
Ohio 10/31/2018
IA
Florida 3/30/2021
B
Pennsylvania 6/16/2021
B
Georgia 10/31/2018
B
South Carolina 10/31/2018
B
Illinois 10/31/2018
B
Texas 10/30/2018
B
Indiana 10/30/2018
IA
Texas 10/30/2018
IA
Indiana 10/30/2018
B
Virginia 10/31/2018
B
Kentucky 10/31/2018
B
Washington 5/11/2021
B
Maryland 10/31/2018
B
West Virginia 6/29/2020
B
Massachusetts 2/16/2023
B
Wisconsin 10/31/2018

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE National, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
401 Jacaranda Blvd, Venice, FL 34292
Registered with this firm since 10/30/2018
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
401 Jacaranda Blvd, Venice, FL 34292
Registered with this firm since 10/30/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/15/2016 - 10/24/2018 EDWARD JONES (CRD#:250) SHELBYVILLE, IN
B
 08/15/2016 - 10/24/2018 EDWARD JONES (CRD#:250) SHELBYVILLE, IN
IA
 04/26/2016 - 08/11/2016 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) INDIANAPOLIS, IN
B
 07/27/2015 - 08/11/2016 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) INDIANAPOLIS, IN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.