TG
Thomas M. Gasbarre
NATIONS FINANCIAL GROUP
Pottstown, PA
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CRD#: 1922444
TG
Professional summary
Thomas Martin Gasbarre is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Pottstown, Pennsylvania.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
LIBERTY INVESTMENT MANAGEMENT. 46 HOLLY LANE POTTSTOWN, PA, 19465. IS INVESTMENT RELATED. NATURE OF BUSINESS IS DBA TO OFFER INVESTMENT AND ADVISORY SERVICES. POSITION IS OWNER. START DATE 10/14/2019. APPROX 40 HRS PER MONTH SPENT ON BUSINESS, 40 HRS DURING SECURITES TRADING HOURS. DUTIES ARE PRINCIPAL DUTIES /// LIBERTY INVESTMENT MANAGEMENT. 46 HOLLY LANE POTTSTOWN, PA, 19465. IS INVESTMENT RELATED. NATURE OF BUSINESS IS INSURANCE. POSITION IS AGENT. STARTED 10/15/2021. APPROX 4 HRS/MONTH SPENT ON BUSINESS, 1 HOUR /WEEK DURING SECURITY TRADING HOUURS. DUTIES ARE SALES/SERVICE OF FIXED/LIFE INSURANCE PRODUCTS THROUGH NATIONWIDE AND HIGHLAND CAPITAL.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Martin Gasbarre's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Martin Gasbarre'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
March 19, 2021 - Present
NATIONS FINANCIAL GROUP, INC.
RIA
BD
CRD#: 44181
Pottstown, PA
Current
March 19, 2021 - Present
NATIONS FINANCIAL GROUP, INC.
RIA
BD
CRD#: 44181
Pottstown, PA
Past
January 14, 2011 - March 23, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
CHESTER SPRINGS, PA
Past
January 12, 2011 - March 23, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
CHESTER SPRINGS, PA
Past
June 1, 2009 - February 1, 2011
MORGAN STANLEY
BD
CRD#: 149777
BERWYN, PA
Past
January 10, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BERWYN, PA
Past
June 21, 2004 - January 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
EXTON, PA
Past
March 21, 1989 - January 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Delaware(9/29/2021)
RR
Florida(3/19/2021)
RR
Indiana(3/19/2021)
RR
Maryland(3/19/2021)
RR
Massachusetts(3/19/2021)
RR
New Jersey(3/19/2021)
RR
New York(3/19/2021)
RR
North Carolina(2/8/2024)
RR
Ohio(3/19/2021)
RR
Oregon(6/17/2025)
RR
Pennsylvania(3/19/2021)
IAR
Pennsylvania(3/19/2021)
Exams
State Security Law Exam
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
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Phone number
(319) 393-9541
Established
Iowa since 11/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
