Glenn H. Thomas
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.
Glenn Hunter Thomas Jr, CFP®, who also goes by Glenn H Thomas Jr, Glenn H Thomas, Glenn Hunter Thomas Jr, Glenn Hunter Thomas, Glenn Thomas, was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1983. Glenn had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 53, Series 27 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2008
Experience
April 7, 2023 - August 11, 2026
TD PRIVATE CLIENT WEALTH LLC
March 9, 2023 - August 11, 2026
TD PRIVATE CLIENT WEALTH LLC
May 19, 2021 - October 5, 2022
CHANCELLOR FINANCIAL GROUP WB LP
February 11, 2016 - August 28, 2020
SANTANDER SECURITIES LLC
February 4, 2016 - August 28, 2020
SANTANDER SECURITIES LLC
September 17, 2015 - November 9, 2015
CAPTRUST
May 13, 2015 - November 19, 2015
M HOLDINGS SECURITIES, INC.
September 30, 2011 - December 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2011 - December 2, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2007 - August 8, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 16, 2007 - August 8, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 10, 2004 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 4, 2002 - December 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
January 20, 1995 - September 27, 2002
INVESTMENT PERSPECTIVES SECURITIES, LTD.
May 10, 1989 - January 27, 1995
U.S. SECURITIES, INC.
March 31, 1989 - August 14, 1989
MUTUAL SERVICE CORPORATION
August 21, 1984 - January 14, 1986
CORNERSTONE FINANCIAL PLANS, LTD.
April 20, 1983 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 25,697 |
| AUM (Assets Under Management) | $ 8,255,945,350 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 |
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.
