Thomas R. Thalman

COLORADO FINANCIAL SERVICE

WAKE FOREST, NC 27587

Some features on this profile are disabled

CRD#: 2468195

Professional summary

Thomas R Thalman, CFP®, who also goes by Thomas Roger Thalman, Thomas Thalman, Tom Thalman, is a registered financial advisor currently at COLORADO FINANCIAL SERVICE CORPORATION located in Wake Forest, North Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Roger Thalman | Thomas Thalman | Tom Thalman

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.

TURNING POINT RETIREMENT ASSOCIATES, DBA FOR ADVISORY SERVICES, INVESTMENT RELATED THROUGH CFSC, SAME ADDRESS AS INDICATED FOR BRANCH, COMPENSATION THROUGH CFSC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas R Thalman's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas R Thalman's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

September 7, 2023 - Present

COLORADO FINANCIAL SERVICE CORPORATION

Office #1: 1776 Heritage Center Dr Ste 200, Wake Forest, NC 27587

RIA

CRD#: 104343

WAKE FOREST, NC

Current

October 20, 2021 - Present

COLORADO FINANCIAL SERVICE CORPORATION

Office #1: 188 Inverness Drive West Suite 100, Centennial, CO 80112

RIA

CRD#: 104343

Centennial, CO

Past

September 10, 2021 - September 7, 2023

LIFESTYLE FREEDOM ADVISORY GROUP, LLC

RIA

CRD#: 283512

Wake Forest, NC

Past

February 10, 2012 - September 17, 2021

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Raleigh, NC

Past

February 10, 2012 - September 17, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Raleigh, NC

Past

October 19, 2005 - February 13, 2012

OSAIC FA, INC.

RIA

CRD#: 3978

RALEIGH, NC

Past

June 29, 2005 - May 23, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

June 29, 2005 - February 13, 2012

OSAIC FA, INC.

CRD#: 3978

RALEIGH, NC

Past

April 23, 1997 - June 22, 2005

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

July 25, 1995 - April 1, 1997

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

May 2, 1995 - July 20, 1995

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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.

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

Arizona
(10/20/2021)

IAR

Arizona
(9/20/2023)

Colorado
(10/7/2024)

IAR

Colorado
(10/7/2024)

Florida
(10/20/2021)

IAR

Florida
(9/11/2023)

North Carolina
(10/20/2021)

IAR

North Carolina
(9/7/2023)

Rhode Island
(10/20/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/18/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/29/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/1/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

COLORADO FINANCIAL SERVICE CORPORATION

COLORADO FINANCIAL SERVICE CORPORATION | TURNING POINT RETIREMENT ASSOCIATES | GIA FINANCIAL GROUP, L.L.C.

CRD#: 104343 / SEC#: 801-76716, 8-52817

RIA

Registered Investment Advisory firm - SEC (8/8/2013 Terminated)

Alaska

Registered Investment Advisory firm - SEC (5/7/2024 Approved)

Arizona

Registered Investment Advisory firm - SEC (9/25/2017 Approved)

California

Registered Investment Advisory firm - SEC (7/30/2013 Approved)

Colorado

Registered Investment Advisory firm - SEC (7/24/2013 Approved)

Florida

Registered Investment Advisory firm - SEC (4/23/2013 Approved)

Louisiana

Registered Investment Advisory firm - SEC (8/14/2023 Approved)

Maryland

Registered Investment Advisory firm - SEC (3/24/2022 Terminated)

Montana

Registered Investment Advisory firm - SEC (2/3/2017 Approved)

New Jersey

Registered Investment Advisory firm - SEC (7/29/2013 Approved)

North Carolina

Registered Investment Advisory firm - SEC (8/4/2023 Approved)

Ohio

Registered Investment Advisory firm - SEC (5/19/2017 Approved)

Oregon

Registered Investment Advisory firm - SEC (6/4/2021 Approved)

South Carolina

Registered Investment Advisory firm - SEC (1/3/2018 Approved)

Texas

Registered Investment Advisory firm - SEC (7/14/2023 Approved)

Washington

Registered Investment Advisory firm - SEC (10/12/2017 Approved)

Wyoming

Registered Investment Advisory firm - SEC (1/31/2025 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

188 Inverness Drive West Ste 100, Centennial, CO 80112

Mailing Address

188 Inverness Drive West Suite 100, Centennial, CO 80112

Phone number

(303) 962-7267

Established

Colorado since 06/13/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
COLORADO NATIONAL CORPORATION	OWNER
FELDMAN, KEITH MITCHELL	MUNICIPAL SECURITIES PRINCIPAL	1308772
FELDMAN, KEITH MITCHELL	OPTIONS PRINCIPAL	1308772
FELDMAN, KEITH MITCHELL	GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS	1308772
HEBERT, CHESTER JOSEPH	FINOP	1678446
HEBERT, CHESTER JOSEPH	CHIEF COMPLIANCE OFFICER	1678446
HEBERT, CHESTER JOSEPH	CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT	1678446
THON, JAMESON OBRIEN	GENERAL SECURITIES PRINCIPAL, PRESIDENT	7015002
WOODWORTH, ADAM JAMES	COMPLIANCE OFFICER	6952982

Regulatory assets under management

Total Number of Accounts	209
AUM (Assets Under Management)	$ 68,471,136

Disclosures

Regulatory Event

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.

Similar Advisors

Daniel Braddock

ALMEGA WEALTH MANAGEMENT

IAR

Raliegh, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas R. Thalman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas R Thalman's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas R Thalman's CRS (Customer Relationship Summary).

Certified licenses

Experience

COLORADO FINANCIAL SERVICE CORPORATION

LIFESTYLE FREEDOM ADVISORY GROUP, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

EDWARD JONES

AVANTAX INVESTMENT SERVICES, INC.

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/2005

Series 63

Date: 5/1/1995

SIE

Date: 10/1/2018

Series 7

Date: 5/29/1997

Series 6

Date: 5/1/1995

FINRA

Current Firm

COLORADO FINANCIAL SERVICE CORPORATION

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

COLORADO FINANCIAL SERVICE CORPORATION

TRUST BUT VERIFY

Similar Advisors