Thomas Francis Bennett

Current Employers

Employment History

• 05/2014 → 05/2023
  Unionbanc Investment Services Llc
  San Ramon, CA
• 12/2023 → 05/2025
  Horter Investment Management, Llc
  Cincinnati, OH
• 05/2023 → 12/2023
  Unemployed
  Benecia, CA
• 05/2025 → Present
  City National Securities, Inc.
  Walnut Creek, CA

Previous Registrations

• 2023-12-07 → 2025-05-27
  Horter Investment Management, Llc
  Cincinnati, OH
  Benicia, CA
• 2014-05-21 → 2023-06-23
  U.S. Bancorp Advisors, Llc
  San Ramon, CA
  Alamo, CA
  San Ramon, CA
  Danville, CA
  Orinda, CA
  Concord, CA
  Pleasant Hill, CA
  Orinda, CA
  Pleasanton, CA
  San Leandro, CA
  Oakland, CA
  Moraga, CA
  Berkeley, CA
  Moraga, CA
  Hayward, CA
  Walnut Creek, CA
  Pleasanton, CA
  Vallejo, CA
  San Rafael, CA
  Oakland, CA
  San Francisco, CA
  Berkeley, CA
  San Francisco, CA
• 2013-06-11 → 2013-09-25
  Bancwest Investment Services, Inc.
  Brentwood, CA
  Antioch, CA
  Antioch, CA
  Oakley, CA
  Pittsburg, CA
• 2012-08-08 → 2013-05-01
  New England Securities
  San Ramon, CA
• 2005-07-06 → 2012-06-25
  Cetera Investment Services Llc
  Walnut Creek, CA
  Richmond, CA
  Richmond, CA
  Richmond, CA
  Oakland, CA
  San Francisco, CA
  Napa, CA
  Roseville, CA
  Albany, CA
  Berkeley, CA
  El Cerrito, CA
  Berkeley, CA

Other Businesses

the name of the other business; - Financial Planning Association whether the business is investment-related; Yes the address of the other business; - FPA East Bay P.O. Box 948 Clayton, CA 94517 the nature of the other business; - Professional Organization fbo CFPs Offering speakers and CE required for maintaining CFP designation your position/title/relationship with the other business; - Director the start date of your relationship; - 2010-01-06 the approximate number of hours/month you devote to the other business; - 4 the number of hours you devote to the other business during securities trading hours; - 2 briefly describe your duties relating to the other business; - Voting member. Represent local chapter in the community and state, and Washington DC

Exams

• S63 Uniform Securities Agent State Law Examination
  2025-06-19
• S66 Uniform Combined State Law Examination
  2000-06-29

Designations

Other Names

• Tom Bennett