Thomas M. Giddings

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CRD#: 2535248

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 Munson Giddings was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 5, 2011 - March 19, 2020

FIRST FOUNDATION ADVISORS

RIA

CRD#: 106075

IRVINE, CA

Past

January 6, 2009 - December 31, 2010

FIRST FOUNDATION ADVISORS, LLC

RIA

CRD#: 137852

IRVINE, CA

Past

June 16, 2008 - September 17, 2008

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

NEWPORT BEACH, CA

Past

July 19, 2007 - September 17, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEWPORT BEACH, CA

Past

December 1, 2002 - July 27, 2007

UST SECURITIES CORP.

CRD#: 13906

STAMFORD, CT

Past

November 18, 1997 - December 1, 2002

UST FINANCIAL SERVICES CORP.

CRD#: 36881

NEW YORK, NY

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".

FIRST FOUNDATION ADVISORS

FIRST FOUNDATION ADVISORS | THE KELLER GROUP INVESTMENT MANAGEMENT, INC | FIRST FOUNDATION INVESTMENT MANAGEMENT

CRD#: 106075 / SEC#: 801-35973

RIA

Registered Investment Advisory firm - (2/28/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

IAR

Series 66

Date: 6/13/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/21/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/26/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/11/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FIRST FOUNDATION ADVISORS

FIRST FOUNDATION ADVISORS | THE KELLER GROUP INVESTMENT MANAGEMENT, INC | FIRST FOUNDATION INVESTMENT MANAGEMENT

CRD#: 106075 / SEC#: 801-35973

RIA

Registered Investment Advisory firm - (2/28/1990 Approved)

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Contact information

Main Address

18101 Von Karman Ave Suite 700, Irvine, CA 92612-1051

Mailing Address

Phone number

(949) 476-0300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRST FOUNDATION ADVISORS BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	3,945
AUM (Assets Under Management)	$ 5,445,880,088

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/26/2025	Cover Page	Report
12/04/2024	Cover Page	Report
09/27/2024	Cover Page	Report
08/30/2023	Cover Page	Report
02/28/2023	Cover Page	Report

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.

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Thomas M. Giddings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST FOUNDATION ADVISORS, LLC

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

UST SECURITIES CORP.

UST FINANCIAL SERVICES CORP.

Primary Firm SEC Registration

FIRST FOUNDATION ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/13/2008

Series 63

Date: 7/21/2000

Series 7

Date: 9/26/2001

Series 6

Date: 10/11/1994

Current Firm

FIRST FOUNDATION ADVISORS

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIRST FOUNDATION ADVISORS

TRUST BUT VERIFY

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