Thomas F. Kistner

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CRD#: 1151704

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 Francis Kistner, CFP®, who also goes by Thomas F Kistner, Tom Kistner, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas F Kistner | Tom Kistner

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.

1)NATIONAL ASSOCIATES INC. OF TEXAS; INVESTMENT RELATED; 14111 Muirfield Village Dr., Houston, TX 77069: Insurance Sales and Investment Advisory; Owner; Started 07/1972; 100 hours, 100 hours, sell life insurance,annuities and investment advisory services. The insurance business is not investment related. I started in feb 1966. Investment services are confined to 401 (K) plans. Investment Advisory services are for retired clients with large balances.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1989

Experience

Past

June 9, 2022 - December 4, 2023

SYMPHONIC SECURITIES LLC

CRD#: 139512

NEW YORK, NY

Past

June 2, 2022 - December 4, 2023

SYMPHONIC FINANCIAL ADVISORS LLC

RIA

CRD#: 135603

Houston, TX

Past

January 19, 2022 - May 24, 2022

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Houston, TX

Past

February 6, 2008 - February 9, 2022

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

HOUSTON, TX

Past

February 6, 2008 - February 9, 2022

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

HOUSTON, TX

Past

January 22, 2007 - December 31, 2007

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

HOUSTON, TX

Past

December 15, 2003 - December 31, 2007

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

HOUSTON, TX

Past

November 12, 1992 - December 11, 2003

WOODLANDS ASSET MANAGEMENT INC

RIA

CRD#: 108122

THE WOODLANDS, TX

Past

November 9, 1992 - December 11, 2003

NAVIGATOR SECURITIES LIMITED

CRD#: 22373

OMAHA, NE

Past

September 27, 1991 - November 13, 1992

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

June 19, 1983 - July 7, 1986

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/26/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SYMPHONIC SECURITIES LLC

CRD#: 139512 / SEC#: , 8-67220

Terminated by SEC on 07/08/2024

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 05/02/2005

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
CITY NATIONAL ROCHDALE HOLDINGS, INC.	MANAGING MEMBER/100% OWNER
BARTON, RICHARD JOSEPH	CHIEF COMPLIANCE OFFICER	2040869
CEPLER, MITCHELL DANIEL	CFO AND FINOP	4554270
GIAQUINTO, GREGG ROBERT	MANAGING DIRECTOR, CLIENT SERVICES & OPERATIONS	3182583

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.

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Firm Stability Insights

Thomas F. Kistner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SYMPHONIC FINANCIAL ADVISORS LLC

BROOKSTONE WEALTH ADVISORS, LLC

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

WOODLANDS ASSET MANAGEMENT INC

NAVIGATOR SECURITIES LIMITED

HIMCO DISTRIBUTION SERVICES COMPANY

AETNA LIFE INSURANCE AND ANNUITY COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 2/10/1992

SIE

Date: 10/1/2018

Series 7

Date: 4/11/1995

Series 6

Date: 9/26/1991

Current Firm

SYMPHONIC SECURITIES LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

SYMPHONIC SECURITIES LLC

TRUST BUT VERIFY

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