Thomas M. Geier
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 Michael Geier, who also goes by Tom Geier, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - December 16, 2019
PUNTA GORDA FINANCIAL PLANNING LLC
January 1, 2002 - September 24, 2021
GEIER ASSET MANAGEMENT INC
September 24, 2001 - December 31, 2010
TRIAD ADVISORS LLC
October 1, 1997 - October 17, 2001
1ST GLOBAL CAPITAL CORP.
May 31, 1995 - September 26, 1997
MONY SECURITIES CORPORATION
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
PUNTA GORDA FINANCIAL PLANNING LLC
CRD#: 291407 / SEC#:
Contact information
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.
