Thomas B. Lundgaard

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CRD#: 2820129

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 Bodnar Lundgaard, AIF® 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 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

Business Name: TBL Financial LLC Investment Related: No Address: 8065 E Michelle Dr Scottsdale AZ 85255 Nature of Business: Other Other/None of the Above for the purpose of TBL payroll Position, Title or Relationship: payee Start Date: 10/16/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: payroll processingBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Advisory Services Start Date: 7/20/2016 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: Financial Planning, Investment PlanningBusiness Name: Watermark Wealth Strategies North, LLC Investment Related: No Address: 5310 E High St ste. 375 Phoenix AZ 85054 Nature of Business: Other Other/None of the Above for the purpose of office space lease Position, Title or Relationship: member Start Date: 8/1/2014 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: tenant of lease space WATERMARK WEALTH STRATEGIES, LLC WATERMARK WEALTH POSITION: Financial Advisor and Fiduciary NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 01/23/2009 ADDRESS: 11333 N Scottsdale Rd, ste. 295, Scottsdale AZ 85254, United States DESCRIPTION: overseeing client investments, both direct and indirect. Advice and implementation of insurance products, advice and implementation of Estate Planning activities.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Past

August 8, 2016 - August 14, 2023

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Scottsdale, AZ

Past

July 20, 2016 - August 14, 2023

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Chandler, AZ

Past

January 23, 2009 - July 21, 2016

SII INVESTMENTS, INC.

RIA

CRD#: 2225

CHANDLER, AZ

Past

January 23, 2009 - July 21, 2016

SII INVESTMENTS, INC.

CRD#: 2225

CHANDLER, AZ

Past

October 31, 2005 - January 27, 2009

OSAIC SERVICES, INC.

CRD#: 133763

SCOTTSDALE, AZ

Past

April 6, 2001 - November 18, 2009

HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

RIA

CRD#: 107773

SCOTTSDALE, AZ

Past

November 21, 1996 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 4/3/2001

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/26/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/4/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/20/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Thomas B. Lundgaard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

OSAIC SERVICES, INC.

HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/3/2001

Series 65

Date: 8/26/1999

Series 63

Date: 12/4/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/8/1999

Series 6

Date: 11/20/1996

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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