Thomas J. Ross
Professional summary
Thomas Joseph Ross JR, who also goes by Thomas Joseph Ross, is a registered financial professional currently at SECURIAN FINANCIAL SERVICES, INC. located in St. Paul, Minnesota.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Ross JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 10, 2006 - Present
SECURIAN FINANCIAL SERVICES, INC.
Office #1: 400 Robert Street North, St. Paul, MN 55101-2098November 10, 2006 - October 18, 2021
CRI SECURITIES, LLC
August 17, 2005 - October 3, 2006
COORDINATED CAPITAL SECURITIES, INC.
November 15, 2002 - August 2, 2005
OSAIC FS, INC.
January 24, 2001 - April 30, 2001
UNDERWRITERS EQUITY CORPORATION
October 9, 1995 - January 10, 2001
ASCENSUS SECURITIES CORP.
February 2, 1995 - December 14, 1998
PACKERLAND BROKERAGE SERVICES, INC.
October 12, 1994 - September 22, 1995
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/5/2010)
Exams
FINRA
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
Company Information
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296St. Paul, MN 55101-2098TRUST BUT VERIFY
Monitor Thomas Ross
Get automatic monthly alerts on:
