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TP

Thomas R. Platt

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CRD#: 2075737
TP

Professional summary

Thomas Raymond Platt, CIMA®, who also goes by Thomas R Platt, was a registered financial advisor .

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Thomas had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas R Platt

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.

Blog Corner

Certified licenses

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

Certified Investment Management Analyst

Experience

Past

November 9, 2015 - June 23, 2017

VARIABLE INVESTMENT ASSOCIATES, INC.

BD
CRD#: 44412
TEA, SD
Past

March 10, 2015 - December 31, 2025

CONNORS INVESTOR SERVICES INC

RIA
CRD#: 106993
WYOMISSING, PA
Past

June 5, 2013 - November 18, 2013

VARIABLE INVESTMENT ASSOCIATES, INC.

BD
CRD#: 44412
TEA, SD
Past

November 5, 2009 - June 15, 2011

BLACKROCK FUND DISTRIBUTION COMPANY

BD
CRD#: 146183
SAN FRANCISCO, CA
Past

June 12, 2007 - June 15, 2011

BLACKROCK FUND ADVISORS

RIA
CRD#: 105247
SAN FRANCISCO, CA
Past

June 12, 2007 - December 31, 2009

BLACKROCK EXECUTION SERVICES

BD
CRD#: 39438
NEW YORK, NY
Past

March 8, 2002 - May 7, 2007

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

March 6, 2002 - May 7, 2007

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

May 8, 2000 - January 18, 2002

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

September 13, 1996 - May 4, 2000

LPM INVESTMENT SERVICES, INC

BD
CRD#: 33980
PALM BEACH, FL
Past

April 29, 1996 - April 25, 1997

JONES, BYRD, & ATTKISSON, INC.

BD
CRD#: 36268
ATLANTA, GA
Past

April 4, 1996 - August 13, 1996

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
PORTLAND, ME
Past

December 7, 1994 - April 26, 1996

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
BROOKLYN, OH
Past

July 8, 1994 - September 27, 1994

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

July 8, 1992 - June 29, 1994

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

November 21, 1990 - August 10, 1992

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

November 21, 1990 - August 10, 1992

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

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.

Highlighted states indicate IAR registrations

IAR
Pennsylvania
(3/10/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/9/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/31/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/23/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/20/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/15/2001
Investment Company Products/Variable Contracts Principal Examination

Current Firm

VI
VARIABLE INVESTMENT ASSOCIATES, INC.
VARIABLE INVESTMENT ADVISORS, INC. | VARIABLE INVESTMENT ASSOCIATES, INC.

CRD#: 44412 / SEC#: , 8-50699

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
750 E. 1st Street, Tea, SD 57064
Mailing Address
750 E. 1st Street, Tea, SD 57064
Phone number
(605) 361-8230
Established
South Dakota since 10/03/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WILSON, GREGORY STEVENPRESIDENT / CEO / CCO / COO/1272680
FONDER, TERRY JOSEPHFINOP5561085
WILSON, KYLE WAGNERASSISTANT CEO5212895

Disclosures

Regulatory Event1

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

VARIABLE INVESTMENT ASSOCIATES, INC.

CRD#: 44412

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Contact information

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