Thomas E. Gummersbach

HUNTLEIGH ADVISORS

ST. LOUIS, MO 63105

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CRD#: 231966

Professional summary

Thomas Edward Gummersbach is a registered financial advisor currently at HUNTLEIGH ADVISORS, INC. located in St. Louis, Missouri and HUNTLEIGH SECURITIES CORPORATION located in Chesterfield, Missouri.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Thomas has worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 10, Series 9, Series 8 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Edward Gummersbach's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 4, 2005 - Present

HUNTLEIGH ADVISORS, INC.

Office #1: 7800 Forsyth Blvd, St. Louis, MO 63105

RIA

CRD#: 113412

ST. LOUIS, MO

Current

February 18, 2005 - Present

HUNTLEIGH SECURITIES CORPORATION

Office #1: 15400 South Outer Forty Suite 201, Chesterfield, MO 63017

CRD#: 7456

Chesterfield, MO

Past

November 12, 2004 - March 3, 2005

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

ST. LOUIS, MO

Past

March 1, 1993 - March 3, 2005

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 30, 1989 - March 17, 1993

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

December 31, 1981 - September 30, 1989

NEWHARD, COOK & CO. INCORPORATED

CRD#: 619

ST. LOUIS, MO

Past

March 27, 1978 - January 6, 1982

STIX & CO., INC.

CRD#: 3516

Past

September 16, 1977 - December 23, 1983

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

August 27, 1976 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

February 27, 1976 - August 27, 1976

BACHE & CO INCORPORATED

CRD#: 7058

Past

September 21, 1970 - February 27, 1976

BACHE & CO., INCORPORATED

CRD#: 66

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".

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(2/18/2005)

California
(3/15/2011)

Delaware
(3/17/2021)

IAR

Delaware
(3/22/2021)

Florida
(2/18/2005)

Georgia
(8/15/2008)

Illinois
(2/18/2005)

Minnesota
(7/12/2021)

Missouri
(2/18/2005)

IAR

Missouri
(3/4/2005)

North Carolina
(1/3/2013)

Ohio
(7/3/2012)

Texas
(4/9/2021)

IAR

Texas
(9/22/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/10/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/8/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 10/24/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 6/2/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 9/28/1987

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP

CRD#: 113412 / SEC#: 801-62677

RIA

Registered Investment Advisory firm - (1/22/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/7/2004 Terminated)

Missouri

Registered Investment Advisory firm - (11/17/2004 Terminated)

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Contact information

Main Address

7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105

Mailing Address

Phone number

(314) 236-2400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B (7/28/2025)

Regulatory assets under management

Total Number of Accounts	1,628
AUM (Assets Under Management)	$ 626,466,687

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.

Contact information

xxxxx@xxxx.xxx

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Thomas E. Gummersbach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Edward Gummersbach's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUNTLEIGH SECURITIES CORPORATION

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

ADVEST, INC.

NEWHARD, COOK & CO. INCORPORATED

STIX & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

BACHE HALSEY STUART INC.

BACHE & CO INCORPORATED

BACHE & CO., INCORPORATED

Primary Firm SEC Registration

HUNTLEIGH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/10/2004

Series 63

Date: 9/8/1979

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 10/24/1968

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 6/2/1988

Series 24

Date: 9/28/1987

FINRA

Current Firm

HUNTLEIGH ADVISORS, INC.

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HUNTLEIGH ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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