TB
Thomas M. Buehler
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CRD#: 2257320
TB
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 Michael Buehler, who also goes by Tom Buehler, was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1992. Thomas had worked at 17 firms and has passed the Series 66, Series 63, Series 3, Series 55, Series 7, Series 4, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom Buehler
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.
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®
NoneExperience
Past
February 7, 2012 - February 21, 2012
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ALPHARETTA, GA
Past
June 23, 2011 - February 1, 2012
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ATLANTA, GA
Past
November 19, 2010 - December 31, 2010
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ATLANTA, GA
Past
June 2, 2010 - June 16, 2010
CAPE INVESTMENT ADVISORY, INC.
RIA
CRD#: 146384
MCDONOUGH, GA
Past
May 25, 2010 - June 16, 2010
CAPE SECURITIES INC.
BD
CRD#: 7072
MCDONOUGH, GA
Past
October 22, 2009 - January 25, 2010
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ATLANTA, GA
Past
October 21, 2009 - January 25, 2010
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
December 12, 2008 - February 9, 2009
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
ATLANTA, GA
Past
December 4, 2007 - February 9, 2009
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
August 1, 2006 - July 2, 2007
TETON INVESTMENT PARTNERS, LLC
BD
CRD#: 122569
ATLANTA, GA
Past
January 11, 2006 - February 7, 2006
LPE SECURITIES, LLC
BD
CRD#: 117851
TAMPA, FL
Past
September 29, 2003 - December 20, 2005
FIRST VANTAGE INVESTMENTS LLC
BD
CRD#: 34485
ALPHARETTA, GA
Past
August 19, 1999 - September 24, 2003
CARLIN EQUITIES, LLC
BD
CRD#: 31295
NEW YORK, NY
Past
July 10, 1998 - November 13, 2003
HORIZON INVESTMENT GROUP LLC
BD
CRD#: 44904
ALPHARETTA, GA
Past
March 2, 1998 - May 15, 1998
PROTRADER SECURITIES L.P.
BD
CRD#: 35233
AUSTIN, TX
Past
October 13, 1997 - March 6, 1998
SUPERIOR FINANCIAL GROUP, INC.
BD
CRD#: 35529
LB29 DALLAS, TX
Past
September 19, 1997 - December 9, 1997
PENSON FINANCIAL SERVICES, INC.
BD
CRD#: 25866
DALLAS, TX
Past
September 6, 1995 - June 9, 1997
INVESTORS ST.
BD
CRD#: 30779
MIAMI, FL
Past
June 20, 1994 - August 10, 1995
NATIONWIDE SECURITIES CORPORATION
BD
CRD#: 29720
VALRICO, FL
Past
September 17, 1992 - July 7, 1994
NEXA SECURITIES
BD
CRD#: 15621
PASADENA, CA
Past
August 13, 1992 - September 23, 1992
NATIONWIDE SECURITIES CORPORATION
BD
CRD#: 29720
VALRICO, FL
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/4/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
FSC SECURITIES CORPORATION
3GENWEALTH | SPIEGEL FINANCIAL | SMITH MURRAY WEALTH | SITZLER FINANCIAL SERVICES | SHROM ASSOCIATES | SHEA & MCMURDIE RETIREMENT | SHARP FINANCIAL SERVICES | SHARP FINANCIAL | SHAFFER FINANCIAL SERVICES | SEASONS FINANCIAL ADVISORS | SCHMOLKE INVESTMENT TEAM | ROOTED FINANCIAL GROUP | ROCKPORT WEALTH MANAGEMENT | ROBSON PLANNING GROUP | RIVERLINK ADVISORS, LLC | RIVERBEND WEALTH MANAGEMENT | RIDGEGATE INVESTMENT MANAGEMENT | RICHARD HOE INVESTMENTS, LLC | RETIRESOURCE | RETIREMENT PLANNING & INVESTMENT SERVICES | R.J. WELSCH & ASSOCIATES, INC. | PROLIFIC WEALTH | PRICE FINANCIAL GROUP | PORTER KICKHAM, INC. | PIERCE & ASSOCIATES | PHRONETIC RETIREMENT ADVISORS | PENSURE GROUP | PATEL WEALTH STRATEGIES | PARK WEALTH ADVISORS | PAOLINI ADVISORS, LLC | OPTIMIZE CAPITAL MANAGEMENT | ONLY RETIRMENT | O'QUIN FIANNCIAL GROUP | O'BRIEN PLANNING STRATEGIES | NTUNE FINANCIAL GROUP | NORTHWEST GENERAL INSURANCE AND FINANCIAL SERVICES | NETTWORTH FINANCIAL GROUP | NETTUNO WEALTH MANAGEMENT | NETTUNO GROUP | MOUNTAIN CAPITAL | MOTTAU, ICENHOWER & ASSOCIATES | MOORESTREET FINANCIAL GROUP, LLC | MILLION WEALTH MANAGEMENT | MI401K RETIREMENT PLAN CONSULTANTS | MG RETIREMENT ADVISORS | MERRITT WEALTH STRATEGIES | MEFFORD WEALTH MANAGEMENT | MCKELL FINANCIAL GROUP | MAGNOLIA CAPITAL PARTNERS | MAGELLAN INVESTMENT ADVISORY SERVICES | LUMEN FINANCIAL GROUP | LUKE FORD FINANCIAL | LOVELL WEALTH MANAGEMENT | LONE STAR WEALTH MANAGEMENT | LILY WEALTH PARTNERS | LIANG CAPITAL ADVISORS | LESHNAK WEALTH | LENZE CAPITAL | LEGACY FINANCIAL SERVICES GROUP | KRAMER WEALTH MANAGERS | KNIGHTSBRIDGE FINANCIAL | KIDDER FINANCIAL GROUP | KEYSTONE FINANCIAL GROUP | KAVOCS FINANCIAL SOLUTIONS | KALYX CAPITAL MANAGEMENT | KALIS FINANCIAL | JIL FINANCIAL SERVICES, LLC | JAMES R. K. HARDY & ASSOCIATES | JAG FINANCIAL | IRVING FAMILY RETIREMENT PLANNING | INVESTMENT CAPITAL ADVISORS | INTEGRITY WEALTH ADVANTAGE | INDEPENDENT CAPITAL MANAGEMENT | IGRYPHON CAPITAL GROUP | HUSTAD WEALTH MANAGEMENT | HPK PROVIDENT ADVISORS | HOWARD WEALTH MANAGEMENT | HONOR CAPITAL | HOLMES MANAGEMENT LLC | HELMSMAN FINANCIAL PARTNERS | HARRIS & PRATT WELATH MANAGEMENT | HANZICH CONSULTING INC. | GRYPHON WEALTH MANAGEMENT | GRYPHON INSTITUTE | GREGORY A CROSBY, CFP | GREAT LAKES 401K | GOLDMAN HARRIS PRATT & ASSOCIATES WEALTH MANAGEMENT | GOLDMAN & ASSOCIATES WEALTH MANAGEMENT | GMBP WEALTH MANAGEMENT | GEM WEALTH PLANNING GROUP | FUNKHOUSER SHAFFER FINANCIAL SERVICES | FSC SECURITIES CORPORATION | FREEDOM ONE ADVISOR GROUP | FRAMEWORK FINANCIAL PLANNING | FINANCIAL SUCCESS STRATEGIES | FINANCIAL STRATEGIES GROUP | FINANCIAL SOLUTIONS GROUP | FINANCIAL INSIGHTS | FINANCIAL INDEPENDENCE LLC | FIDUCIARYADVISOR | FEDERAL EMPLOYEE BENEFITS | FAIRWINDS WEALTH MANAGEMENT | EFC WEALTH MANAGEMENT | EBERT ASSOCIATES | DLUZAK & ASSOCIATES, INC. | DIVERSIFIED FINANCIAL GROUP | DISEKER & COMPANY | DESTINY FINANCIAL GROUP | DELLINGER WEALTH MANAGEMENT | DECILIO FINANCIAL ADVISORS | DBW FINANCIAL SERVICES | CTM FINANCIAL GROUP, INC | CROSBY, TREVINO & ASSOCIATES, LLC | CRESTAR WEALTH MANAGEMENT | CREATIVE PENSION PLANS, INC. | CORNERSTONE WEALTH MANAGEMENT | COOLEY WEALTH MANAGEMENT | CONTINUUM FINANCIAL GROUP | CONSUS WEALTH MANAGEMENT, LLC | CONSCIOUS CAPITAL LLC | CONSCIOUS CAPITAL | COMPLO FINANCIAL SERVICES | CITADEL FINANCIAL & RETIREMENT SOLUTIONS. LLC | CITADEL FINANCIAL & RETIREMENT SOLUTIONS, LLC | CHERRINGTON BROTSKY CONSCIOUS CAPITAL | CHERRINGTON BROTSKY | CENTRUY FINANCIAL ADVISORS | CENTERPOINTE ADVISERS | CEBERT WEALTH MANAGEMENT | CARROLL ENTERPRISES LLC | CAROLINA WEALTH STEWARDSHIP GROUP | CAPITAL RESOURCE MANAGEMENT | CAPITAL ASSET MANAGEMENT | BROADVIEW FINANCIAL GROUP | BRENNAN & STUART, INC. | BRAD MILLS WEALTH MANAGEMENT | BOYD INVESTMENT SERVICES | BOUNDARY ROCK FINANCIAL GROUP | BLISS FINANCIAL SERVICES | BESSELMAN WEALTH PLANNERS | BEANE ATKINSON FINANCIAL SERVICES | BDL ADVISORS, LLC | BDL ADVISORS | BANYAN, ROCK, AND TALENT WEALTH STRATEGISTS | ATS | ARCH WEALTH MANAGEMENT | ARBEITER & BADIUK | ANDERSON WEALTH ADVISORS, LLC | ANDERSON WEALTH ADVISORS | AEGIS FINANCIAL GROUP, INC. | ADVANCED TRUSTEE STRATEGIES...
CRD#: 7461 / SEC#: 801-42017, 8-21770
BD
Terminated by SEC on 01/05/2024
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Contact information
Main Address
2300 Windy Ridge Pkwy Suite 750, Atlanta, GA 30339
Mailing Address
Phone number
+1 (800) 547-2382
Established
Delaware since 05/04/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2,174
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICE CORPORATION | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HAMEL, CYNTHIA ANN | EVP, CHIEF OPERATIONS OFFICER | 3014361 |
| HAMMOND, DORI JAMILLE | VP, CHIEF COMPLIANCE OFFICER | 3259012 |
| NORTHRIP, IRYNA YAKOVLEVNA | SVP, CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory assets under management
| Total Number of Accounts | 52,792 |
| AUM (Assets Under Management) | $ 11,745,651,239 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 16 |
| Bond | 8 |
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.
