TK
Thomas J. Kieffer
IBN FINANCIAL SERVICES
Liverpool, NY 13088
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CRD#: 1531908
TK
Professional summary
Thomas Joseph Kieffer, who also goes by Tom Kieffer, is a registered financial professional currently at IBN FINANCIAL SERVICES, INC. located in Liverpool, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 10 firms and has passed the Series 63, SIE, Series 62, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom Kieffer
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Kieffer'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
July 21, 2015 - Present
IBN FINANCIAL SERVICES, INC.
Office #1: 404 Old Liverpool Rd, Liverpool, NY 13088RIA
BD
CRD#: 42360
Liverpool, NY
Past
February 19, 2013 - July 22, 2015
MIDAMERICA FINANCIAL SERVICES, INC.
BD
CRD#: 47351
LAKELAND, FL
Past
January 8, 2013 - February 15, 2013
MVP AMERICAN SECURITIES
BD
CRD#: 118286
LAS VEGAS, NV
Past
May 16, 2011 - December 31, 2012
MVP AMERICAN SECURITIES
BD
CRD#: 118286
LAS VEGAS, NV
Past
March 2, 2000 - May 6, 2011
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
LAKELAND, FL
Past
November 16, 1998 - March 3, 2000
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
January 4, 1993 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
BD
CRD#: 21986
CARLSBAD, CA
Past
December 20, 1989 - December 31, 1992
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
OVERLAND PARK, KS
Past
March 22, 1988 - January 1, 1990
VANSOUTH SECURITIES, INC.
BD
CRD#: 10044
Past
July 6, 1987 - December 31, 1989
PW SECURITIES, INC.
BD
CRD#: 6775
Past
May 8, 1987 - January 1, 1990
VANSOUTH SECURITIES, INC.
BD
CRD#: 10044
Past
July 15, 1986 - May 29, 1987
TAX ADVANTAGED INVESTMENTS, INC.
BD
CRD#: 13864
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".
IF
IBN FINANCIAL SERVICES, INC.
IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
RIA
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Kentucky
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (2/28/2018 Terminated)New York
Registered Investment Advisory firm - SEC (7/19/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (2/5/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
California(7/21/2015)
RR
Florida(7/21/2015)
RR
Maryland(8/29/2024)
RR
Oklahoma(8/4/2015)
RR
Texas(2/4/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 10/20/1994
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
IBN FINANCIAL SERVICES, INC.
IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
RIA
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Kentucky
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (2/28/2018 Terminated)New York
Registered Investment Advisory firm - SEC (7/19/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (2/5/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
404 Old Liverpool Rd, Liverpool, NY 13088
Mailing Address
P.o. Box 2365, Liverpool, NY 13089
Phone number
(315) 652-4426
Established
New York since 12/15/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
79
SEC notice filing (18 States and Territories)
FINRA licenses (50 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 180,458,175 |
Disclosures
| Regulatory Event | 9 |
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
IBN FINANCIAL SERVICES, INC.
CRD#: 42360Liverpool, NY 13088TRUST BUT VERIFY
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