Thomas Alan Black
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Black
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
32 years in the financial services industry
Current & Past Employments
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MORGAN STANLEY
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Current Firm
ABSOLUTE RETURN SOLUTIONS INC. | THE RETIREMENT SOLUTION LLC | THE RETIREMENT SOLUTION INC. | ABSOLUTE RETURN SOLUTIONS, INC.
Contact Information
Main Address
18300 Redmond Way Suite 250, Redmond, WA 98052Phone Number
(425) 558-3700# of Employees
35SEC notice filing (28 States and Territories)
Registered to provide investment advisory services in 28 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,164AUM (Assets Under Management)
$699,428,544Similar Advisors
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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.
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Primary Firm SEC Registration
ABSOLUTE RETURN SOLUTIONS INC. | THE RETIREMENT SOLUTION LLC | THE RETIREMENT SOLUTION INC. | ABSOLUTE RETURN SOLUTIONS, INC.
State Registrations and Notice Filings
(10/25/2023)
(6/21/2017)
(9/11/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Alan Black's CRS (Customer Relationship Summary).
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AMERIPRISE FINANCIAL SERVICES, LLC
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