TR
Thomas L. Ross
BRIDGEWATER ASSET MANAGEMENT LLC
Chesterfield, MO 63017
Some features on this profile are disabled
CRD#: 2384765
TR
Professional summary
Thomas Lake Ross, ChFC®, who also goes by Tom Ross, is a registered financial advisor currently at BRIDGEWATER ASSET MANAGEMENT LLC located in Chesterfield, Missouri and LPL FINANCIAL LLC located in Sanibel, Florida.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Ross
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.
(1) 01/08/2014 - BRIDGEWATER ASSET MANAGEMENT LLC - REGISTERED INVESTMENT ADVISOR - Investment Related - TIME SPENT 60% - CHESTERFIELD, MO (2) 02/21/2014 - Bridgewater Asset Management, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Time Spent 100%
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Lake Ross's 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®
Experience
Current
January 23, 2014 - Present
BRIDGEWATER ASSET MANAGEMENT LLC
Office #1: 16150 Main Circle Drive Suite 210, Chesterfield, MO 63017RIA
CRD#: 169832
Chesterfield, MO
Current
December 11, 2000 - Present
LPL FINANCIAL LLC
Office #2: 16150 Main Circle Dr Ste 210, Chesterfield, MO 63017-4689RIA
BD
CRD#: 6413
SANIBEL, FL
Past
January 5, 2001 - May 14, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
CLAYTON, MO
Past
October 4, 1993 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
October 4, 1993 - January 10, 2001
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, 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".
BA
BRIDGEWATER ASSET MANAGEMENT LLC
BRIDGEWATER ASSET MANAGEMENT LLC | J.P. GRIFFARD & ASSOCIATES | BRIDGEWATER ASSET MANAGEMENT, LLC
CRD#: 169832 / SEC#: 801-108560
RIA
Registered Investment Advisory firm - (11/9/2016 Approved)California
Registered Investment Advisory firm - (12/15/2016 Terminated)Colorado
Registered Investment Advisory firm - (11/30/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/9/2016 Terminated)Michigan
Registered Investment Advisory firm - (11/16/2016 Terminated)Missouri
Registered Investment Advisory firm - (11/17/2016 Terminated)Texas
Registered Investment Advisory firm - (11/15/2016 Terminated)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.RR
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
RR
Alabama(10/16/2013)
RR
Alaska(10/9/2019)
RR
Arizona(5/1/2014)
RR
Arkansas(5/5/2009)
RR
California(9/13/2002)
RR
Colorado(1/4/2010)
RR
Connecticut(3/9/2009)
RR
Florida(12/13/2000)
RR
Georgia(10/6/2015)
RR
Idaho(2/16/2016)
RR
Illinois(12/11/2000)
RR
Indiana(12/17/2013)
RR
Kansas(5/11/2018)
RR
Maryland(6/10/2019)
RR
Massachusetts(5/27/2011)
RR
Michigan(12/11/2000)
RR
Mississippi(9/16/2020)
RR
Missouri(12/11/2000)
IAR
Missouri(1/23/2014)
RR
Nebraska(10/7/2015)
RR
Nevada(11/8/2023)
RR
New Jersey(7/31/2015)
RR
New Mexico(6/10/2019)
RR
New York(2/16/2016)
RR
North Carolina(5/9/2019)
RR
Oregon(6/10/2019)
RR
Pennsylvania(2/16/2016)
RR
Texas(1/19/2001)
IAR
Texas(8/7/2014)
RR
Utah(2/16/2016)
RR
Washington(5/9/2019)
RR
Wisconsin(1/3/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BA
BRIDGEWATER ASSET MANAGEMENT LLC
BRIDGEWATER ASSET MANAGEMENT LLC | J.P. GRIFFARD & ASSOCIATES | BRIDGEWATER ASSET MANAGEMENT, LLC
CRD#: 169832 / SEC#: 801-108560
RIA
Registered Investment Advisory firm - (11/9/2016 Approved)California
Registered Investment Advisory firm - (12/15/2016 Terminated)Colorado
Registered Investment Advisory firm - (11/30/2016 Terminated)Illinois
Registered Investment Advisory firm - (11/9/2016 Terminated)Michigan
Registered Investment Advisory firm - (11/16/2016 Terminated)Missouri
Registered Investment Advisory firm - (11/17/2016 Terminated)Texas
Registered Investment Advisory firm - (11/15/2016 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
16150 Main Circle Drive Suite 210, Chesterfield, MO 63017
Mailing Address
Phone number
(636) 536-9936
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,165 |
| AUM (Assets Under Management) | $ 298,451,193 |
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.
Company Information
BRIDGEWATER ASSET MANAGEMENT LLC
CRD#: 169832Chesterfield, MO 63017TRUST BUT VERIFY
Monitor Thomas Ross
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
