TB
Thomas G. Brennan
NATIONS FINANCIAL GROUP
Scottsdale, AZ 85251
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CRD#: 2237677
TB
Professional summary
Thomas George Brennan is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Scottsdale, Arizona.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 4 firms and has passed the Series 63, Series 65, 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.
GECKO LLC. 6991 E CAMELBACK RD, STE C-152 SCOTTSDALE, AZ 85251. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS TO MANAGE OFFICE SPACE. POSITION IS OWNER, STARTED 1/1/2011. SPEND APPROX 4 HOURS PER MONTH ON BUSINESS, 0 DURING SECURITY TRADING HOURS. DUTIES: PARTNER/LOGISTICAL SUPPORT. /// BFT MOBILE LLC. 8059 E SANDIA CIR MESA, AZ 85207. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS REAL ESTATE. POSITION IS AGENT, STARTED 02/11/2025. SPEND APPROX 1 HOURS PER MONTH ON BUSINESS, 0 HOURS DURING SECURITY TRADING HOURS. DUTIES: MAINTAIN LLC./// GENERATIONS WEALTH MANAGEMENT. 6991 E CAMELBACK RD., SUITE C-152. SCOTTSDALE, AZ 85251. IS INVESTMENT RELATED. NATURE OF BUSINESS IS FINANCIAL PLANNING, INVESTMENT AND ADVISORY SERVICES. POSITION IS FINANCIAL ADVISOR. START DATE IS 4/22/2025. APPROX 160 HOURS PER MONTH DEVOTED TO BUSINESS. 160 HOURS DURING SECURITY TRADING HOURS. DUTIES ARE FINANCIAL PLANNING, INVESTMENT AND ADVISORY SERVICES. ///
CRS (Client Relationship Summary) - RIA
Click below to view Thomas George Brennan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas George Brennan'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
September 18, 2020 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 6991 Camelback Rd. Suite C-152, Scottsdale, AZ 85251RIA
BD
CRD#: 44181
Scottsdale, AZ
Current
September 18, 2020 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 6991 Camelback Rd. Suite C-152, Scottsdale, AZ 85251RIA
BD
CRD#: 44181
Scottsdale, AZ
Past
September 4, 2014 - September 21, 2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
SCOTTSDALE, AZ
Past
September 15, 2006 - September 21, 2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
SCOTTSDALE, AZ
Past
July 31, 1993 - September 25, 2006
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
TEMPE, AZ
Past
June 11, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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
Alabama(9/29/2020)
RR
Arizona(9/18/2020)
IAR
Arizona(9/25/2020)
RR
Arkansas(9/18/2020)
RR
California(9/18/2020)
RR
Colorado(9/18/2020)
RR
Connecticut(7/12/2023)
RR
Florida(9/18/2020)
RR
Georgia(7/2/2021)
RR
Idaho(9/18/2020)
RR
Illinois(9/18/2020)
RR
Iowa(9/18/2020)
RR
Kansas(3/26/2024)
RR
Minnesota(9/18/2020)
RR
Nevada(9/18/2020)
RR
New Mexico(9/18/2020)
RR
New York(9/18/2020)
RR
North Carolina(9/18/2020)
RR
Ohio(9/18/2020)
RR
Oregon(10/8/2020)
RR
Pennsylvania(9/18/2020)
RR
Tennessee(11/11/2022)
RR
Texas(9/18/2020)
IAR
Texas(9/18/2020)
RR
Utah(9/18/2020)
RR
Washington(8/16/2022)
RR
Wyoming(9/18/2020)
Exams
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.
