TO
Thomas G. Olson
FIDELITY & GUARANTY SECURITIES
Des Moines, IA 50309
Some features on this profile are disabled
CRD#: 2393888
TO
Professional summary
Thomas G Olson, who also goes by Thomas Gregory Olson, Tom Olson, is a registered financial professional currently at FIDELITY & GUARANTY SECURITIES, LLC located in Des Moines, Iowa.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 8 firms and has passed the Series 63, Series 66, Series 6TO, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Gregory Olson | Tom Olson
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) - BD
Click below to view Thomas G Olson'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®
NoneExperience
Current
August 3, 2023 - Present
FIDELITY & GUARANTY SECURITIES, LLC
Office #1: 801 Grand Ave, Suite 2600, Des Moines, IA 50309BD
CRD#: 315720
Des Moines, IA
Past
February 15, 2021 - July 19, 2023
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
Past
July 25, 2007 - October 8, 2012
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
September 15, 2004 - July 6, 2007
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
EAGLE RIVER, AK
Past
January 24, 2000 - February 17, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 24, 2000 - June 11, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
August 7, 1995 - March 9, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
November 16, 1993 - January 23, 1995
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(1/16/2024)
RR
Alaska(8/30/2023)
RR
Arizona(12/6/2023)
RR
California(8/3/2023)
RR
Colorado(8/3/2023)
RR
Connecticut(8/3/2023)
RR
Delaware(8/24/2023)
RR
District of Columbia(8/3/2023)
RR
Georgia(8/3/2023)
RR
Hawaii(8/15/2023)
RR
Idaho(8/3/2023)
RR
Illinois(1/9/2024)
RR
Indiana(9/19/2023)
RR
Iowa(8/3/2023)
RR
Kansas(8/3/2023)
RR
Kentucky(8/3/2023)
RR
Louisiana(8/3/2023)
RR
Maine(1/8/2024)
RR
Maryland(8/3/2023)
RR
Massachusetts(12/22/2023)
RR
Michigan(8/3/2023)
RR
Minnesota(1/5/2024)
RR
Mississippi(8/23/2023)
RR
Missouri(10/4/2023)
RR
Montana(8/3/2023)
RR
Nebraska(9/15/2023)
RR
Nevada(1/12/2024)
RR
New Hampshire(8/3/2023)
RR
New Mexico(9/8/2023)
RR
North Carolina(8/3/2023)
RR
North Dakota(8/29/2023)
RR
Ohio(8/4/2023)
RR
Oklahoma(8/3/2023)
RR
Oregon(8/3/2023)
RR
Pennsylvania(8/3/2023)
RR
Rhode Island(8/3/2023)
RR
South Carolina(8/3/2023)
RR
South Dakota(1/8/2024)
RR
Tennessee(9/13/2023)
RR
Utah(8/3/2023)
RR
Vermont(1/8/2024)
RR
Virginia(1/9/2024)
RR
Washington(1/8/2024)
RR
West Virginia(9/5/2023)
RR
Wisconsin(8/3/2023)
RR
Wyoming(8/28/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 8/3/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 2/13/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
F&
FIDELITY & GUARANTY SECURITIES, LLC
FIDELITY & GUARANTY SECURITIES CORP. | FIDELITY & GUARANTY SECURITIES, LLC
CRD#: 315720 / SEC#: , 8-70916
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
801 Grand Ave. Suite 2600, Des Moines, IA 50309
Mailing Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309
Phone number
+1 (888) 697-5433
Established
Delaware since 08/16/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY & GUARANTY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| ANDERSON, STEPHEN FRANCIS | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 1181095 |
| BARRETT, RONALD JOHN JR | DIRECTOR | 2480222 |
| CANTONWINE, TESSA ELIZABETH | SECRETARY | 5626630 |
| OLSON, THOMAS G | CHIEF EXECUTIVE OFFICE AND DIRECTOR | 2393888 |
| PHELPS, JOHN A | DIRECTOR | 5664815 |
| RIP, OLGA | FINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER | 5440553 |
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
FIDELITY & GUARANTY SECURITIES, LLC
CRD#: 315720Des Moines, IA 50309TRUST BUT VERIFY
Monitor Thomas Olson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
