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Thomas Shannon Lott

Stonex Securities Inc.

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About Thomas Shannon Lott

Thomas Lott is a financial advisor with over 40 years of experience in the financial services industry. Thomas is currently registered with Stonex Securities Inc. and has held previous positions with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc.

Firm Information

Thomas Lott is currently registered with Stonex Securities Inc.. Stonex Securities Inc. is a corporation that was formed on January 22, 2002, and is approved to operate in all 50 states, the District of Columbia, and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

88

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Thomas Lott’s Registration & Firm History

AL

06/15/2009 - Present

Stonex Securities Inc. (FAIRHOPE AL)

AL

06/01/2009 - 06/15/2009

MORGAN STANLEY SMITH BARNEY (FAIRHOPE AL)

AL

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (FAIRHOPE AL)

AL

05/19/2004 - 04/02/2007

MORGAN STANLEY DW INC. (FAIRHOPE AL)

MO

02/03/1989 - 05/20/2004

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

NA

01/16/1986 - 03/07/1989

PRUDENTIAL-BACHE SECURITIES INC.

NA

06/07/1984 - 01/15/1986

DEAN WITTER REYNOLDS INC.

NA

10/20/1983 - 05/01/1984

BEVILL, BRESLER & SCHULMAN INCORPORATED

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Licenses & Designations

BC

Issued 07/30/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 04/10/1989

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/18/1990

Series 3 - National Commodity Futures Examination

BC

Issued 10/15/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Thomas Shannon Lott. Review regulatory record here.
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