Thomas G. Webber
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 Geoffrey Webber, who also goes by Tom Webber, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 10 firms and has passed the Series 65, Series 63, 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
Experience
September 23, 2020 - December 7, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 23, 2020 - December 7, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 15, 2006 - November 30, 2018
NFSG CORPORATION
June 15, 2006 - November 30, 2018
NEWBRIDGE SECURITIES CORPORATION
May 18, 2006 - June 14, 2006
LARADORBECKER SECURITIES CORPORATION
August 5, 2005 - April 17, 2006
CITICORP INVESTMENT SERVICES
August 5, 2005 - April 17, 2006
CITICORP INVESTMENT SERVICES
September 22, 2000 - July 22, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 12, 1999 - July 22, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 1, 1998 - July 12, 1999
BA INVESTMENT SERVICES, INC.
November 4, 1997 - August 28, 1998
GRIFFIN FINANCIAL SERVICES
April 21, 1997 - October 29, 1997
GLENFED BROKERAGE SERVICES
September 14, 1994 - May 14, 1997
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
