Thomas D. Gier
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 Duane Gier was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2021 - February 22, 2022
ALPHASTAR CAPITAL MANAGEMENT
May 16, 2011 - December 31, 2020
STRAIGHTFORWARD WEALTH MANAGEMENT, INC.
September 27, 2007 - December 3, 2007
KCD FINANCIAL, INC.
February 6, 2007 - December 3, 2007
KCD FINANCIAL, INC.
November 1, 2006 - February 15, 2007
VARIABLE INVESTMENT ASSOCIATES, INC.
October 1, 2002 - December 31, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
March 4, 1996 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
Primary Firm SEC Registration
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
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
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,592 |
| AUM (Assets Under Management) | $ 1,841,154,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2023 | ||
| 06/27/2023 | ||
| 01/24/2023 |
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.
