Thomas A. Kieffer

ST. LOUIS FINANCIAL PLANNERS

Chesterfield, MO 63017

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CRD#: 269086

Professional summary

Thomas Anthony Kieffer is a registered financial advisor currently at ST. LOUIS FINANCIAL PLANNERS INC. located in Chesterfield, Missouri.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1971. Thomas has worked at 9 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

ST LOUIS FINANCIAL PLANNERS INC/16091 Swingley Ridge Rd. Ste 345, CHESTERFIELD, MO 63017/33.3% OWNER/IA ACTIVITY-ST LOUIS FINANCIAL PLANNERS INC/33.3% TIMOTHY HUNT 33.3%; CASEY HUNT 33.3%

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Anthony Kieffer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 2, 1997 - Present

ST. LOUIS FINANCIAL PLANNERS INC.

Office #1: 16091 Swingley Ridge Rd. Suite 345, Chesterfield, MO 63017

RIA

CRD#: 105511

Chesterfield, MO

Past

January 4, 2010 - February 17, 2022

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

CHESTERFIELD, MO

Past

June 10, 2004 - December 31, 2009

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

CHESTERFIELD, MO

Past

September 13, 2002 - December 31, 2009

GIRARD SECURITIES, INC.

CRD#: 18697

CHESTERFIELD, MO

Past

September 2, 1997 - November 21, 2005

ST. LOUIS FINANCIAL PLANNERS ASSET MANAGEMENT, LLC

RIA

CRD#: 106999

CHESTERFIELD, MO

Past

August 8, 1988 - September 18, 2002

SPELMAN & CO., INC.

CRD#: 10232

PHOENIX, AZ

Past

May 28, 1980 - August 15, 1988

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

Past

November 15, 1978 - June 30, 1980

FSC SECURITIES CORPORATION

CRD#: 7461

Past

June 1, 1971 - October 28, 1977

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

Past

June 1, 1971 - October 28, 1977

MONY SECURITIES CORPORATION

CRD#: 4386

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".

ST. LOUIS FINANCIAL PLANNERS INC.

ST LOUIS FINANCIAL PLANNERS INC | ST. LOUIS FINANCIAL PLANNERS INC.

CRD#: 105511 / SEC#: 801-113524

RIA

Registered Investment Advisory firm - (7/5/2018 Approved)

Illinois

Registered Investment Advisory firm - (7/5/2018 Terminated)

Missouri

Registered Investment Advisory firm - (12/19/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/19/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Missouri
(9/2/1997)

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

Series 63

Date: 12/3/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 5/22/1971

Registered Representative Examination

Current Firm

ST. LOUIS FINANCIAL PLANNERS INC.

ST LOUIS FINANCIAL PLANNERS INC | ST. LOUIS FINANCIAL PLANNERS INC.

CRD#: 105511 / SEC#: 801-113524

RIA

Registered Investment Advisory firm - (7/5/2018 Approved)

Illinois

Registered Investment Advisory firm - (7/5/2018 Terminated)

Missouri

Registered Investment Advisory firm - (12/19/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/19/2019 Terminated)

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Contact information

Main Address

16091 Swingley Ridge Rd. Suite 345, Chesterfield, MO 63017

Mailing Address

Phone number

(636) 532-3900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - 11-20-2025 (11/25/2025)

Regulatory assets under management

Total Number of Accounts	35
AUM (Assets Under Management)	$ 5,689,546

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 A. Kieffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Anthony Kieffer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CEROS FINANCIAL SERVICES, INC.

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

ST. LOUIS FINANCIAL PLANNERS ASSET MANAGEMENT, LLC

SPELMAN & CO., INC.

FIRST AFFILIATED SECURITIES, INC.

FSC SECURITIES CORPORATION

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

ST. LOUIS FINANCIAL PLANNERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/1982

Series 7TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 5/22/1971

Current Firm

ST. LOUIS FINANCIAL PLANNERS INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ST. LOUIS FINANCIAL PLANNERS INC.

TRUST BUT VERIFY

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