Thomas G. Torres
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 Gerard Torres, who also goes by Thomas G Torres, Thomas Gerard Torres Jr, Tommy Torres Jr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2017 - June 19, 2020
USAA INVESTMENT SERVICES COMPANY
April 25, 2017 - June 19, 2020
USAA INVESTMENT SERVICES COMPANY
July 25, 2008 - September 17, 2015
USAA INVESTMENT SERVICES COMPANY
July 24, 2008 - September 17, 2015
USAA INVESTMENT SERVICES COMPANY
July 24, 2008 - April 29, 2010
USAA FINANCIAL ADVISORS, INC.
April 23, 2008 - July 9, 2008
WAMU INVESTMENTS, INC.
April 22, 2008 - July 9, 2008
WAMU INVESTMENTS, INC.
January 25, 2007 - March 14, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 25, 2007 - March 14, 2008
TD AMERITRADE, INC.
June 1, 1999 - December 19, 2006
USAA INVESTMENT SERVICES COMPANY
May 27, 1999 - December 19, 2006
USAA INVESTMENT SERVICES COMPANY
August 8, 1995 - May 22, 1999
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
