Thomas Baumler
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 Baumler was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2020 - October 28, 2022
MERCER ALLIED COMPANY, L.P.
August 31, 2020 - October 28, 2022
GOLDMAN SACHS & CO. LLC
November 1, 2017 - August 31, 2020
CETERA WEALTH SERVICES, LLC
October 10, 2017 - June 13, 2019
CETERA WEALTH SERVICES, LLC
May 12, 2017 - October 28, 2022
UNITED CAPITAL FINANCIAL ADVISORS
August 12, 2014 - November 1, 2017
GIRARD SECURITIES, INC.
April 1, 2010 - November 1, 2017
GIRARD SECURITIES, INC.
October 31, 2005 - April 6, 2010
OSAIC SERVICES, INC.
January 1, 1999 - January 9, 2004
FINANCIAL ARCHITECTS, INC
January 1, 1999 - October 31, 2017
ASSET ONE LLC
April 11, 1988 - October 31, 2005
SENTRA SECURITIES CORPORATION
February 14, 1985 - April 12, 1988
VOYA FINANCIAL ADVISORS, INC.
August 16, 1984 - February 22, 1985
THE ADVISORS GROUP, INC.
July 26, 1984 - August 24, 1984
FSC SECURITIES CORPORATION
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
MERCER ALLIED COMPANY, L.P.
CRD#: 37404 / SEC#: , 8-47739
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOLDMAN SACHS WEALTH SERVICES, L.P. | SOLE LIMITED PARTNER | 106693 |
| GS AYCO HOLDING LLC | GENERAL PARTNER | |
| HALL, LARIK MARSHALL | PRESIDENT | 2634322 |
| KINOWSKI, KYLE T | VICE PRESIDENT | 4277862 |
| LUKS, SHELLEY M | VP & CHIEF FINANCIAL OFFICER | 6004389 |
| NASS, JEREMY PAUL | VP & CHIEF OPERATIONS OFFICER | 4244509 |
| RYAN, DIANA ELIZABETH | VP & CHIEF COMPLIANCE OFFICER | 2780148 |
| VOLSKY, MELISSA C | VICE PRESIDENT | 4648752 |
Red Flags
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