Thomas G. Efthimiou

MEADOWBROOK WEALTH MANAGEMENT

GARDEN CITY, NY 11530

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CRD#: 2336798

Professional summary

Thomas George Efthimiou is a registered financial advisor currently at MEADOWBROOK WEALTH MANAGEMENT, LLC located in Garden City, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Thomas has worked at 3 firms and has passed the Series 65, Series 63, Series 31 and Series 7 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 George Efthimiou'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

April 1, 2021 - Present

MEADOWBROOK WEALTH MANAGEMENT, LLC

Office #1: 1042 Franklin Avenue Suite 110, Garden City, NY 11530

RIA

CRD#: 110508

GARDEN CITY, NY

Past

August 26, 1993 - August 21, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 8, 1993 - July 13, 1993

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, 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".

MEADOWBROOK WEALTH MANAGEMENT, LLC

GMG ASSET MANAGEMENT, INC. | MEADOWBROOK WEALTH MANAGEMENT, LLC

CRD#: 110508 / SEC#: 801-110418

RIA

Registered Investment Advisory firm - (5/2/2017 Approved)

New York

Registered Investment Advisory firm - (7/6/2017 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.

Highlighted states indicate IAR registrations

IAR

New York
(4/1/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/13/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/14/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 8/25/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/7/1993

General Securities Representative Examination

Current Firm

MEADOWBROOK WEALTH MANAGEMENT, LLC

GMG ASSET MANAGEMENT, INC. | MEADOWBROOK WEALTH MANAGEMENT, LLC

CRD#: 110508 / SEC#: 801-110418

RIA

Registered Investment Advisory firm - (5/2/2017 Approved)

New York

Registered Investment Advisory firm - (7/6/2017 Terminated)

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Contact information

Main Address

1042 Franklin Avenue Suite 110, Garden City, NY 11530

Mailing Address

Phone number

(888) 888-5250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/12/2026)

Regulatory assets under management

Total Number of Accounts	260
AUM (Assets Under Management)	$ 110,100,000

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.

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Firm Stability Insights

Thomas G. Efthimiou

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas George Efthimiou's CRS (Customer Relationship Summary).

Certified licenses

Experience

MEADOWBROOK WEALTH MANAGEMENT, LLC

MORGAN STANLEY DW INC.

ROYCE INVESTMENT GROUP, INC.

Primary Firm SEC Registration

MEADOWBROOK WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/13/2003

Series 63

Date: 4/14/1993

Series 31

Date: 8/25/1993

Series 7

Date: 4/7/1993

Current Firm

MEADOWBROOK WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MEADOWBROOK WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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