TB
Thomas A. Black
THE RETIREMENT SOLUTION LLC
Kennewick, WA 99336
Some features on this profile are disabled
CRD#: 2450163
TB
Professional summary
Thomas Alan Black, who also goes by Tom Black, is a registered financial advisor currently at THE RETIREMENT SOLUTION LLC located in Kennewick, Washington.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Thomas has worked at 1 firm and has passed the Series 65 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Black
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) - RIA
Click below to view Thomas Alan Black'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
September 11, 2015 - Present
THE RETIREMENT SOLUTION LLC
Office #1: 1110 N Center Parkway Suite A2, Kennewick, WA 99336RIA
CRD#: 148106
Kennewick, WA
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".
TR
THE RETIREMENT SOLUTION LLC
ABSOLUTE RETURN SOLUTIONS INC. | THE RETIREMENT SOLUTION LLC | THE RETIREMENT SOLUTION INC. | ABSOLUTE RETURN SOLUTIONS, INC.
CRD#: 148106 / SEC#: 801-113783
RIA
Registered Investment Advisory firm - (8/1/2018 Approved)Arizona
Registered Investment Advisory firm - (9/10/2018 Terminated)California
Registered Investment Advisory firm - (10/10/2018 Terminated)Colorado
Registered Investment Advisory firm - (9/11/2018 Terminated)Idaho
Registered Investment Advisory firm - (9/10/2018 Terminated)Texas
Registered Investment Advisory firm - (9/10/2018 Terminated)Utah
Registered Investment Advisory firm - (9/10/2018 Terminated)Washington
Registered Investment Advisory firm - (10/10/2018 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.Highlighted states indicate IAR registrations
IAR
Colorado(10/25/2023)
IAR
Texas(6/21/2017)
IAR
Washington(9/11/2015)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
TR
THE RETIREMENT SOLUTION LLC
ABSOLUTE RETURN SOLUTIONS INC. | THE RETIREMENT SOLUTION LLC | THE RETIREMENT SOLUTION INC. | ABSOLUTE RETURN SOLUTIONS, INC.
CRD#: 148106 / SEC#: 801-113783
RIA
Registered Investment Advisory firm - (8/1/2018 Approved)Arizona
Registered Investment Advisory firm - (9/10/2018 Terminated)California
Registered Investment Advisory firm - (10/10/2018 Terminated)Colorado
Registered Investment Advisory firm - (9/11/2018 Terminated)Idaho
Registered Investment Advisory firm - (9/10/2018 Terminated)Texas
Registered Investment Advisory firm - (9/10/2018 Terminated)Utah
Registered Investment Advisory firm - (9/10/2018 Terminated)Washington
Registered Investment Advisory firm - (10/10/2018 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
18300 Redmond Way Suite 250, Redmond, WA 98052
Mailing Address
Phone number
(425) 558-3700
Established
Firm type
Fiscal year end
# of Employees
33
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,888 |
| AUM (Assets Under Management) | $ 573,254,942 |
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.
