Thomas C. Gross
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 Chester Gross, who also goes by Thomas Chester Gross Jr, Thomas Chester Jr Gross, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 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
July 19, 2016 - November 18, 2024
TRANSAMERICA RETIREMENT ADVISORS, LLC
July 19, 2016 - November 18, 2024
TRANSAMERICA INVESTORS SECURITIES, LLC
March 21, 2014 - February 17, 2016
SANTANDER SECURITIES LLC
March 21, 2014 - February 17, 2016
SANTANDER SECURITIES LLC
November 12, 2012 - December 11, 2013
INVEST FINANCIAL CORPORATION
October 30, 2012 - December 11, 2013
INVEST FINANCIAL CORPORATION
May 27, 2010 - February 15, 2011
WADDELL & REED
May 14, 2010 - February 15, 2011
WADDELL & REED
February 26, 2008 - May 25, 2010
MSI FINANCIAL SERVICES, INC.
July 17, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 17, 2006 - May 25, 2010
MSI FINANCIAL SERVICES, INC.
March 2, 2004 - October 3, 2006
VALIC FINANCIAL ADVISORS, INC.
April 5, 2000 - February 12, 2001
EDWARD JONES
September 26, 1997 - December 9, 1997
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
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
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
