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TS

Thomas F. Streiff

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CRD#: 2153575
TS

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 Francis Streiff was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 23, 2021 - January 9, 2023

RETIREONE INVESTMENT SERVICES, LLC

BD
CRD#: 269923
LOUISVILLE, KY
Past

November 19, 2018 - December 31, 2019

PORTSMOUTH FINANCIAL SERVICES

BD
CRD#: 13980
Louisville, KY
Past

January 9, 2015 - January 4, 2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
NEW YORK, NY
Past

February 14, 2011 - August 12, 2014

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEW YORK, NY
Past

November 25, 2008 - February 14, 2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEWPORT BEACH, CA
Past

December 20, 2007 - November 20, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

October 4, 2002 - December 20, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

October 1, 2002 - December 20, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 18, 2000 - March 15, 2001

FIRST VARIABLE CAPITAL SERVICES, INC.

BD
CRD#: 30007
BIRMINGHAM, AL
Past

June 12, 2000 - February 28, 2002

IAC SECURITIES, INC.

BD
CRD#: 14081
TINLEY PARK, IL
Past

January 25, 1999 - June 20, 2000

TALBOT FINANCIAL SERVICES, INC.

BD
CRD#: 46345
ALBUQUERQUE, NM
Past

December 22, 1992 - December 22, 1999

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
BOSTON, MA
Past

July 25, 1991 - November 24, 1992

RELIASTAR FINANCIAL MARKETING CORP.

BD
CRD#: 4234
SEATTLE, WA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/17/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/23/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/4/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/24/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/13/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/23/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/26/1998
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/28/1995
Investment Company Products/Variable Contracts Principal Examination

Current Firm

RI
RETIREONE INVESTMENT SERVICES, LLC
EF LEGACY SECURITIES, LLC | RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923 / SEC#: , 8-69640

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

Main Address
222 South 1st Street, Suite 600, Louisville, KY 40202
Mailing Address
222 South 1st Street, Suite 600, Louisville, KY 40202
Phone number
(877) 575-2742
Established
Delaware since 05/05/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
RETIREONE, INC.OWNER
GILMAN, ROBERT CRAIGFINOP, PFO1738412
GRAY, LEVEN RAINEYCHIEF COMPLIANCE OFFICER707493
MERCIER, EDWARD JAMESCHIEF EXECUTIVE OFFICER1370339

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

RETIREONE INVESTMENT SERVICES, LLC

CRD#: 269923

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