TB
Thomas S. Brister
DOMINION PORTFOLIO MANAGEMENT
EVERGREEN, CO
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CRD#: 30834
TB
Professional summary
Thomas Stanley Brister, CFP®, who also goes by Tom Brister, is a registered financial advisor currently at DOMINION PORTFOLIO MANAGEMENT, INC. located in Evergreen, Colorado and CALTON & ASSOCIATES, INC. located in Evergreen, Colorado.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. Thomas has worked at 11 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 1, Series 24 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Brister
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.
(1)THE ACTIVITES CONDUCTED THROUGH FINANCIAL ADVISORY BY THOMAS BRISTER, INVESTMENT RELATED,32180 INVERNESS DRIVE, EVERGREEN, CO 80439, OWNER/PROPRIETOR ARE: I PROVIDE FINANCIAL PLANNING ON A NON-FEE BASIS TO ESTABLISH FINANCIAL GOALS AND OBJECTIVES; IMPLEMENTATION OF INVESTMENTS AND INSURANCE PRODUCTS DESIGNED TO HELP CLIENTS ACHIEVE THEIR FINANCIAL GOALS AND OBJECTIVES; CASH MANAGEMENT AND BUDGETING; INSURANCE INCLUDING LIFE, HEALTH AND DISABILITY; INVESTMENT AND ASSET MANAGEMENT; 2) PROVIDE CLIENTS THE OPPORTUNITY TO PURCHASE PRECIOUS METALS, COINS AND GEMS; (3) PROVIDE INSURANCE PRODUCTS INCLUDING LIFE, HEALTH, ACCIDENT, ANNUITIES AND INDEXED ANNUITIES.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Stanley Brister's 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®
Start date: 1988
Experience
Current
January 17, 2006 - Present
DOMINION PORTFOLIO MANAGEMENT, INC.
RIA
CRD#: 106918
EVERGREEN, CO
Current
July 3, 2023 - Present
CALTON & ASSOCIATES, INC.
RIA
BD
CRD#: 20999
Evergreen, CO
Past
January 1, 1999 - December 31, 2009
FINANCIAL ADVISORY BY THOMAS S. BRISTER, CFP
RIA
CRD#: 112541
EVERGREEN, CO
Past
April 23, 1991 - July 19, 2023
DOMINION INVESTOR SERVICES, INC.
BD
CRD#: 21548
EVERGREEN, CO
Past
February 9, 1989 - December 31, 1990
T.L. REED SECURITIES, INC.
BD
CRD#: 19875
Past
November 7, 1985 - January 26, 1989
SOURCE SECURITIES, INC.
BD
CRD#: 8026
Past
August 20, 1985 - November 8, 1985
AMERICAN PACIFIC SECURITIES CORPORATION
BD
CRD#: 5003
Past
December 6, 1982 - August 20, 1985
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
BD
CRD#: 32
Past
December 8, 1980 - August 23, 1982
MOUNTAIN STATES INVESTMENTS, INC.
BD
CRD#: 7881
Past
April 24, 1975 - December 26, 1980
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Past
November 15, 1968 - October 29, 1975
FINANCIAL SERVICE CORPORATION OF AMERICA
BD
CRD#: 292
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".
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/26/2023)
RR
California(7/3/2023)
IAR
Colorado(1/17/2006)
RR
Colorado(7/3/2023)
RR
Florida(7/3/2023)
RR
Mississippi(7/3/2023)
RR
Texas(7/3/2023)
RR
Washington(8/15/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/9/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 6/28/1972
General Securities Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
DP
DOMINION PORTFOLIO MANAGEMENT, INC.
DOMINION FINANCIAL ADVISORS INC. | NONE | DOMINION WEALTH ADVISORS, INC. | DOMINION PORTFOLIO MANAGEMENT, INC. | DOMINION FINANCIAL ADVISORS, INC.
CRD#: 106918 / SEC#: 801-115280
RIA
Registered Investment Advisory firm - (5/13/2019 Approved)California
Registered Investment Advisory firm - (4/25/2001 Cancelled)Colorado
Registered Investment Advisory firm - (5/22/2019 Terminated)Indiana
Registered Investment Advisory firm - (5/20/2019 Terminated)Louisiana
Registered Investment Advisory firm - (5/14/2019 Terminated)Michigan
Registered Investment Advisory firm - (5/15/2019 Terminated)Oklahoma
Registered Investment Advisory firm - (5/14/2019 Terminated)Tennessee
Registered Investment Advisory firm - (5/14/2019 Terminated)Texas
Registered Investment Advisory firm - (5/14/2019 Terminated)Washington
Registered Investment Advisory firm - (5/21/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1002 Marble Heights Dr Suite 101, Marble Falls, TX 78654
Mailing Address
2701 N Rocky Point Drive Suite 1000, Tampa, FL 33607
Phone number
(813) 264-0440
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 616 |
| AUM (Assets Under Management) | $ 261,299,355 |
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.
