Thomas J. Carstens
Professional summary
Thomas James Carstens is a registered financial advisor currently at PELION INVESTMENT ADVISORS, INC. located in St. Augustine, Florida and FIRST LIBERTIES FINANCIAL located in Tampa, Florida.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 22, Series 52, Series 62, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Carstens's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2021 - Present
PELION INVESTMENT ADVISORS, INC.
February 14, 2011 - Present
FIRST LIBERTIES FINANCIAL
Office #1: 2915 N. Boulevard Suite A, Tampa, FL 33602June 14, 2002 - January 4, 2010
LENOX ADVISORS, INC.
May 1, 2002 - December 2, 2010
MML INVESTORS SERVICES, LLC
May 14, 1991 - December 2, 2010
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/6/2014)
(10/14/2022)
(3/16/2011)
(6/25/2013)
(10/30/2015)
(3/13/2020)
(4/8/2015)
(10/13/2020)
(3/16/2011)
(2/19/2021)
(11/18/2011)
(12/1/2021)
(3/18/2011)
(12/9/2021)
Exams
Series 62
Date: 10/2/1995
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
PELION INVESTMENT ADVISORS, INC.
CRD#: 138400 / SEC#: 801-66276
Contact information
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 58,880,219 |
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.
