Thomas David Springfield
Professional Summary
Thomas David Springfield, who also goes by Thomas D. Springfield, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1993 - 2021. Thomas had worked at 3 firms and has passed the Series 65 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas D. Springfield
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
ARK & TLK INVESTMENTS, LLC | GUARDIA WEALTH ADVISORS, LLC | GUARDIA WEALTH ADVISORS | GUARDIA WEALTH | CASTLEVIEW WEALTH ADVISORS | CASTLEPOINT WEALTH ADVISORS | CASTLE VIEW ADVISORS
Contact Information
Main Address
7308 N. Classen Blvd., Oklahoma City, OK 73116Phone Number
(405) 705-2906# of Employees
10SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,139AUM (Assets Under Management)
$751,448,285Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ARK & TLK INVESTMENTS, LLC | GUARDIA WEALTH ADVISORS, LLC | GUARDIA WEALTH ADVISORS | GUARDIA WEALTH | CASTLEVIEW WEALTH ADVISORS | CASTLEPOINT WEALTH ADVISORS | CASTLE VIEW ADVISORS
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1992About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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