Thomas G. Labeau
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Glavin Labeau, who also goes by Tom Labeau, was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1982. Thomas had worked at 12 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2010 - September 4, 2014
KALOS MANAGEMENT
April 29, 2010 - September 4, 2014
KALOS CAPITAL, INC.
April 23, 2010 - May 12, 2010
KALOS MANAGEMENT
January 4, 2010 - March 30, 2010
GUNNALLEN FINANCIAL, INC
April 17, 2006 - December 31, 2009
GUNNALLEN FINANCIAL, INC
March 21, 2005 - March 30, 2010
GUNNALLEN FINANCIAL, INC
March 30, 2004 - March 23, 2005
QUESTAR CAPITAL CORPORATION
December 19, 2003 - March 24, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 21, 1995 - December 31, 2001
SIGMA FINANCIAL CORPORATION
December 22, 1992 - October 24, 1995
VESTAX SECURITIES CORPORATION
February 13, 1991 - December 15, 1992
PRINCIPAL SECURITIES, INC.
January 4, 1988 - November 21, 1990
G. R. PHELPS & CO., INC.
December 10, 1986 - November 10, 1987
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 18, 1982 - December 23, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 18, 1982 - February 10, 1987
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KALOS MANAGEMENT
CRD#: 133025 / SEC#: 801-65182
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,174 |
| AUM (Assets Under Management) | $ 128,562,434 |
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.
