TM
Thomas R. Mathews
TRANSAMERICA FINANCIAL ADVISORS | Investment Advisor Representative
Alpharetta, GA 30005
Some features on this profile are disabled
CRD#: 1109573
TM
Professional summary
Thomas Richard Mathews JR, who also goes by Matthews Thomas R Jr, Thomas Richard Mathews, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Alpharetta, Georgia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthews Thomas R Jr | Thomas Richard Mathews
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc., The Wealth Wave is a co-brand that is used by agents affiliated with World Financial Group Insurance Agency, an insurance agency affiliate of Transamerica Financial Advisors, LLC. Heart Property Management | 05/2006 | Duluth, GA | Manager | investment related Wealthwave Media LLC | 12/2022 | Johns Creek, Ga | investment related | Single Member/Manager | Creating financial literacy education and marketing pieces. WEALTHWAVE, LLC; 08/09/2014;Yes INV RELATED; MANAGER, PRESIDENT; 6475 EAST JOHNS CROSSING, JOHNS CREEK, GA 30097; CO-BRAND FOR WFG HIERARCHY, OFFERING MARKETING CONCEPTS TO ENTIRE HIERARCHY. WEALTHWAVE CAMPAIGNS WILL ALLOW THE MEMBERS TO HAVE A PERSONAL WEBSITE AND EMAIL. ALSO, WEALTHWAVE.COM; 20 HRS/MO; 2 TRADING; MARKETING. How Money Works, LLC / 1218-Present/ Investment Related: No/ 6475 East Johns Crossing Johns Creek, GA 30097 / Member-Manager /Financial Education/ / hrs work monthly: 20/ Sec trading hrs: 1/ Preparing and writing educational materials; Overseeing day to day operations Heart Media LLC/ 0211-Present / Investment Related: No /6475 East Johns Crossing Duluth, GA 30097/Sole Member - President / property management / Hrs Work Monthly: / Sec Trading Hrs: / Invoicing tenants; property management HOW MONEY WORKS BOOK /emp dates: 0819 TO PRESENT/ INVESTMENT RELATED: NO /address: 6475 EAST JOHN CROSSING JOHNS CREEK, GA 30097/ position: AUTHOR / nature of business: THIS IS A BOOK. I AM THE AUTHOR. THE BOOK WILL BE SOLD THROUGH HOW MONEY WORKS LLC WHICH HAS ALREADY BEEN DISCLOSED/hrs work monthly: 5/Sec trading hrs: 1/ duties: WRITING- MOST OF THIS HAS BEEN DONE WEALTHWAVE MEDIA, LLC POSITION: Single Member/Manager NATURE: Media Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2022 ADDRESS: 6475 East Johns Xing, Johns Creek GA 30097, United States DESCRIPTION: Creating Financial Literacy Education and marketing pieces MONEY BOOK, LLC \ POSITION: Member-Manager NATURE: Book sales INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2018 ADDRESS: 3030 Royal Blvd S, Suite 200, Alpharetta GA 30022 \ DESCRIPTION: There are no daily activities SIMPLE TRUTHS / 1004-Present / Investment Related: Y / DUNDEE, IL/ Writer / Hrs. Work Monthly:0 / Sec Trading Hrs.:0 / WRITING A GIFT BOOK
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Richard Mathews JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Richard Mathews JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 190 Bluegrass Valley Pkwy., Alpharetta, GA 30005RIA
BD
CRD#: 16164
Alpharetta, GA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 190 Bluegrass Valley Pkwy., Alpharetta, GA 30005RIA
BD
CRD#: 16164
Alpharetta, GA
Past
July 17, 2006 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
DULUTH, GA
Past
January 11, 2006 - August 23, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
DULUTH, GA
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
JOHNS CREEK, GA
Past
June 6, 1994 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
August 4, 1992 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
April 26, 1990 - November 6, 1990
NORTH AMERICAN MANAGEMENT, INC.
BD
CRD#: 624
SIOUX FALLS, SD
Past
July 24, 1985 - February 20, 1990
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/6/2012)
RR
Arkansas(1/6/2012)
RR
California(1/6/2012)
RR
Colorado(1/6/2012)
RR
Connecticut(1/6/2012)
RR
Delaware(1/6/2012)
RR
District of Columbia(1/6/2012)
IAR
District of Columbia(1/6/2012)
RR
Florida(1/6/2012)
RR
Georgia(1/6/2012)
IAR
Georgia(1/6/2012)
RR
Hawaii(1/6/2012)
RR
Idaho(1/6/2012)
RR
Illinois(1/6/2012)
RR
Indiana(1/6/2012)
RR
Iowa(1/6/2012)
RR
Kansas(1/6/2012)
RR
Kentucky(1/6/2012)
RR
Louisiana(1/6/2012)
RR
Maine(1/6/2012)
RR
Maryland(1/6/2012)
RR
Massachusetts(1/6/2012)
RR
Michigan(1/6/2012)
RR
Minnesota(1/6/2012)
RR
Mississippi(1/6/2012)
RR
Missouri(1/6/2012)
RR
Montana(9/28/2020)
RR
Nebraska(1/6/2012)
RR
Nevada(1/6/2012)
RR
New Jersey(1/6/2012)
IAR
New Jersey(1/6/2012)
RR
New Mexico(1/6/2012)
RR
New York(1/6/2012)
RR
North Carolina(1/6/2012)
IAR
North Carolina(1/6/2012)
RR
Ohio(1/6/2012)
RR
Oklahoma(1/6/2012)
RR
Pennsylvania(1/6/2012)
RR
Puerto Rico(3/23/2017)
IAR
Puerto Rico(3/23/2017)
RR
Rhode Island(1/6/2012)
RR
South Carolina(1/6/2012)
RR
South Dakota(6/3/2022)
RR
Texas(1/6/2012)
IAR
Texas(1/6/2012)
RR
Utah(1/6/2012)
RR
Virginia(1/6/2012)
RR
Washington(1/6/2012)
RR
West Virginia(1/6/2012)
RR
Wisconsin(5/16/2014)
RR
Wyoming(1/6/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
Investment Advisor RepresentativeCRD#: 16164Alpharetta, GA 30005TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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