TM
Thomas A. Mace
Some features on this profile are disabled
CRD#: 315839
TM
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 Arthur Mace was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1974. Thomas had worked at 20 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 1, Series 4, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
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®
NoneExperience
Past
April 22, 2008 - January 19, 2016
OSAIC SERVICES, INC.
RIA
CRD#: 133763
PHOENIX, AZ
Past
April 14, 2008 - January 19, 2016
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
October 3, 2007 - March 13, 2008
INSPHERE SECURITIES, INC.
RIA
CRD#: 136433
SALT LAKE CITY, UT
Past
July 24, 2007 - March 13, 2008
INSPHERE SECURITIES, INC.
BD
CRD#: 136433
SALT LAKE CITY, UT
Past
April 24, 2007 - October 3, 2007
ALLEGIS ADVISORS, INC.
RIA
CRD#: 131242
SALT LAKE CITY, UT
Past
February 9, 2007 - August 9, 2007
EQUITY SERVICES, INC.
BD
CRD#: 265
SALT LAKE CITY, UT
Past
June 2, 2000 - January 29, 2007
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
PHOENIX, AZ
Past
August 14, 1998 - January 28, 2000
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
Past
August 19, 1996 - January 16, 1998
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
February 12, 1996 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
BD
CRD#: 17101
Past
June 21, 1994 - January 24, 1996
FIRST SPRINGFIELD SECURITIES, INC.
BD
CRD#: 25099
SPRINGFIELD, MO
Past
February 24, 1992 - June 30, 1992
FIRST PHOENIX SECURITIES, INC.
BD
CRD#: 18838
Past
September 9, 1991 - January 10, 1992
FIRST AMERICAN BILTMORE SECURITIES, INC.
BD
CRD#: 17585
Past
June 21, 1990 - March 6, 1991
PRINCETON AMERICAN EQUITIES CORPORATION
BD
CRD#: 14491
PHOENIX, AZ
Past
April 10, 1989 - July 3, 1990
MONACO SECURITIES, INC.
BD
CRD#: 15719
DENVER, CO
Past
July 12, 1988 - January 1, 1989
BIRCHTREE FINANCIAL SERVICES LLC
BD
CRD#: 15014
Past
June 16, 1986 - February 19, 1988
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
Past
January 20, 1984 - May 2, 1986
DICKINSON & CO.
BD
CRD#: 689
Past
August 23, 1982 - January 17, 1984
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
February 23, 1981 - August 31, 1982
PIPER SANDLER & CO.
BD
CRD#: 665
Past
December 15, 1976 - May 24, 1978
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 719
Past
January 15, 1974 - September 1, 1977
DAIN, KALMAN & QUAIL, INCORPORATED
BD
CRD#: 202
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.
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 1/11/1974
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
OS
OSAIC SERVICES, INC.
1ST PALMETTO ADVISORS | PILLAR FINANCIAL GROUP | PETER GOODWIN PERSONAL WEALTH MANAGEMENT | PEGASUS FINANCIAL GROUP | PARKE AVENUE INVESTMENTS | PARK AVENUE INVESTMENTS, WEALTH STRATEGIES | PANTO WEALTH STRATEGIES | PALFINI FINANCIAL | OSAIC SERVICES, INC. | OREGON PLANNERS | OAKLEAF CAPITAL PARTNERS | OAK FINANCIAL ADVISORS | NORTHSTAR ASSOCIATES | NORTH MAIN FINANCIAL GROUP | NORLAKES FINANCIAL SERVICES | NEST FINANCIAL | NBS FINANCIAL GROUP | NAVIGATOR FINANCIAL GROUP | NACCARATO FINANCIAL GROUP | MYERS & INKROTT FINANCIAL GROUP | MY WEALTH DOCTOR | MSL CAPITAL MANAGEMENT | MOSAIC WEALTH SOLUTIONS | MONARCH WEALTH AND RETIREMENT STRATEGIES | MONARCH WEALTH & RETIREMENT STRATEGIES | MIDAMERICA FINANCIAL GROUP | MARK S LALIN AND ASSOCIATES | MANDY MONEY | MAIN STREET ADVISORS | M.R. MILLER FINANCIAL | LUTZ WEALTH ADVISORS | LUCERO FINANCIAL PLANNING | LIVING TREE FINANCIAL CONSULTING | LINEBERRY GROUP | LIFELONG FINANCIAL PLANNING | LIFECRAFT FINANCIAL GROUP | LIBERTY FINANCIAL ASSOCIATES | LEWIS AND PALMER FINANCIAL SOLUTIONS GROUP | LEGACY FINANCIAL PLANNING | LEGACY FINANCIAL ADVISORS, INC. | LEGACY FINANCIAL ADVISORS | LAWRENCE WEALTH MANAGEMENT | LACHICOTTE, INC. | KRAUSE INVESTMENT ADVISORY GROUP, LLC - PAUL R. KRAUSE | KND FINANCIAL | KARP FINANCIAL STRATEGIES | JSTEPHENS WEALTH MANAGEMENT | JP GLOBAL FINANCIAL SERVICES | JAMES C. PROTIGAL | J.S. HOLLAND & CO., INC | ISYS FINANCIAL MANAGEMENT | IQON WEALTH MANAGEMENT | INVESTONE RETIREMENT SPECIALISTS | INVESTMENT CONCEPTS, INC. | INTEGRATED RETIREMENT CONCEPTS | INTEGRATED FINANCIAL CONCEPTS | INKROTT FINANCIAL SERVICES | INKROTT FINANCIAL GROUP | INCOME AND WEALTH ADVISORS AND ASSOCIATES | IMPAC WEALTH SOLUTIONS | ICM HOLISTIC WEALTH SERVICES | HOMANS WEALTH MANAGEMENT | HILL FINANCIAL GROUP | HILL & ASSOCIATES | HIGH POINT CAPITAL PARTNERS | HIGH POINT CAPITAL GROUP | HEYMAN INVESTMENT INC | HERITAGE INVESTMENTS HINDE ASSET MANAGEMENT | HEIGHTS FINANCIAL | HEDBERG WEALTH MANAGEMENT | HAVEN FINANCIAL GROUP | HARMONY FINANCIAL SERVICES | HARMAN WEALTH MANAGEMENT INC | HALE FINANCIAL PLANNING GROUP | GUARDIAN ROCK WEALTH | GRUCZ FINANCIAL | GREENVILLE FINANCIAL GROUP | GRAY HAWK FINANCIAL SERVICES | GRANITE VISTA FINANCIAL | GMBP WEALTH MANAGEMENT | GLOBAL CAPITAL MANAGEMENT | GIGUERE FINANCIAL SERVICES | GEN2 FINANCIAL | FOREST HILLS WEALTH | FOCUS POINT PLANNING | FOCAL POINT FINANCIAL | FLATHERS WEALTH MANAGEMENT | FISCHER CHRISTOFF BARTMESS ADVISORS | FINANCIAL POINTE | FINANCIAL FREEDOM GROUP | FIDUCIARY FIRST | EXCELSIOR WEALTH PARTNERS | EVERGREEN WEALTH MANAGEMENT | ESTATE & FINANCIAL CONSULTANTS | ESCOBAR FINANCIAL | EMERALD FINANCIAL ADVISORS | EAGLE RETIREMENT GROUP | DORAL ASSET MANAGERS INC. | DOMINION EAGLE ADVISOR GROUP | DICOLA FINANCIAL SERVICES MKT NAME | DAVIS FINANCIAL GROUP | DAKOTA LEGACY FINANCIAL | CURTIN WEALTH MANAGEMENT | CURRENT FINANCIAL | COVENANT CAPITAL ADVISORS | COMPREHENSIVE FINANCIAL SERVICES | COMMON INTERESTS | COMMON GOAL FINANCIAL | COLE FINANCIAL | COFFMAN WEALTH MANAGEMENT | CODA FINANCIAL GROUP, INC. | CFS INTEGRATED FINANCIAL SERVICES | CFS ADVISOR TEAM | CATAMOUNT WEALTH ADVISORY | CARMICHAEL FINANCIAL ADVISORS | CAMPER FINANCIAL GROUP | BRAZIER HINZ & ASSOCIATES | BICE WEALTH MANAGEMENT | BGA RETIREMENT ADVISORS | BGA FINANCIAL | BETANCOURT FINANCIAL SERVICES | BCF WEALTH STRATEGIES | BAXTER & ASSOCIATES, INC. | BAUMOEL & GOODMAN FINANCIAL STRATEGIES | BALTHAZOR & STRUBE FINANCIAL & INSURANCE SERVICES | BAKER STREET FINANCIAL SERVICES, LLC | B.E.S. FINANCIAL | AUSTIN MANNING WEALTH MANAGEMENT | ASTOR FINANCIAL GROUP | ASSET WEALTH MANAGEMENT SERVICES, INC. | ASSET PLANNING & MANAGEMENT | ARUCA FINANCIAL | ANGELA MARTIN FINANCIAL | ANCHOR WEALTH MANAGEMENT INC. | AMS FINANCIAL GROUP | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN FINANCIAL ASSOCIATES | ALPHA RISING WEALTH MANAGEMENT | ALPHA ADVISING | ALLIED WEALTH MANAGEMENT LLC | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | AIG FINANCIAL ADVISORS, INC. | ADVENT FINANCIAL SERVICES | AD ASTRA FINANCIAL GROUP | A. RANDALL FINANCIAL | A. M. HOERR FINANCIAL...
CRD#: 133763 / SEC#: 801-64721, 8-66771
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
18700 Hayden Road Suite 2000, Phoenix, AZ 85012
Mailing Address
18700 Hayden Road Suite 255, Scottsdale, AZ 85255
Phone number
(800) 552-3319
Established
Delaware since 09/10/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3,563
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 86,848 |
| AUM (Assets Under Management) | $ 16,478,907,740 |
Disclosures
| Regulatory Event | 26 |
| Arbitration | 11 |
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.
