Thomas F. Rieman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Fitzpatrick Rieman, CPWA®, who also goes by Thomas Fitzpatrick Reiman, Tom Rieman, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2018-10-22
Expire date: 2024-09-30
Experience
October 16, 2020 - January 4, 2021
ORION PORTFOLIO SOLUTIONS, LLC
April 11, 2013 - October 16, 2020
BRINKER CAPITAL INC
March 20, 2013 - January 4, 2021
BRINKER CAPITAL SECURITIES, LLC
February 24, 2011 - February 19, 2013
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
October 13, 1993 - September 28, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 13, 1993 - September 28, 1995
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
ORION PORTFOLIO SOLUTIONS, LLC
CRD#: 107975 / SEC#: 801-57265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/28/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/28/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ORION PORTFOLIO SOLUTIONS, LLC
CRD#: 107975 / SEC#: 801-57265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 203,878 |
| AUM (Assets Under Management) | $ 57,658,151,186 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 10/21/2024 | ||
| 01/17/2024 | ||
| 10/25/2022 |
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.
