Thomas Kirby

FACET

Arvada, CO

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CRD#: 2934454

Professional summary

Thomas Kirby, CFP®, CLU®, who also goes by Thomas Lee Kirby, Tom Kirby, is a registered financial advisor currently at FACET located in Arvada, Colorado.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Thomas has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Lee Kirby | Tom Kirby

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Kirby'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®

CFP^®

Certified Financial Planner

Start date: 2004

CLU^®

Chartered Life Underwriter

Experience

Current

September 15, 2020 - Present

FACET

RIA

CRD#: 285961

Arvada, CO

Past

June 8, 2020 - October 27, 2020

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Past

January 8, 2018 - July 30, 2020

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

Denver, CO

Past

October 28, 2014 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

ARVADA, CO

Past

October 28, 2014 - June 8, 2020

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

DENVER, CO

Past

February 26, 2014 - October 20, 2014

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MERIDIAN, ID

Past

February 25, 2014 - October 20, 2014

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MERIDIAN, ID

Past

March 28, 2007 - September 11, 2013

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

DENVER, CO

Past

January 1, 2004 - September 11, 2013

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

June 12, 2000 - January 1, 2004

TEACHERS PERSONAL INVESTORS SERVICES, INC.

CRD#: 36130

NEW YORK, NY

Past

October 1, 1998 - December 4, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 29, 1997 - July 17, 1998

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

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".

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

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

Colorado
(9/15/2020)

IAR

Texas
(2/26/2021)

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 65

Date: 3/27/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/19/1997

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: 9/30/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/26/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

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Contact information

Main Address

400 East Pratt Street 8th Floor, Baltimore, MD 21202

Mailing Address

Phone number

(443) 376-6222

Established

Firm type

Fiscal year end

# of Employees

174

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	36,817
AUM (Assets Under Management)	$ 4,754,146,771

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	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 Kirby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TEACHERS PERSONAL INVESTORS SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JANUS HENDERSON DISTRIBUTORS US LLC

Primary Firm SEC Registration

FACET

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/2007

Series 63

Date: 9/19/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/30/1998

Series 6

Date: 8/26/1997

Current Firm

FACET

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

FACET

TRUST BUT VERIFY

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