Thomas M. Vibert
Professional summary
Thomas Monteith Vibert II, who also goes by Thomas Monteith VIbert, is a registered financial professional currently at SECURIAN FINANCIAL SERVICES, INC. located in St Paul, Minnesota.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Monteith Vibert II's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 7, 2008 - Present
SECURIAN FINANCIAL SERVICES, INC.
Office #1: 400 Robert Street North, St Paul, MN 55101August 23, 2005 - July 14, 2008
SECURITY DISTRIBUTORS
November 14, 2003 - December 4, 2003
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 3, 2002 - November 14, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 3, 2002 - November 15, 2003
OSAIC FA, INC.
July 14, 2000 - September 5, 2000
ING FUNDS DISTRIBUTOR, INC.
May 17, 2000 - November 30, 2001
DIRECTED SERVICES LLC
May 28, 1999 - March 23, 2000
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
October 29, 1997 - May 5, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
September 17, 1993 - October 29, 1997
FIDELITY BROKERAGE SERVICES LLC
June 14, 1993 - September 14, 1993
IDS LIFE INSURANCE COMPANY
June 14, 1993 - September 14, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
August 31, 1992 - December 24, 1992
L.C. WEGARD & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/7/2008)
(10/7/2008)
Exams
FINRA
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296St Paul, MN 55101TRUST BUT VERIFY
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