Thomas L. Telford
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 L Telford, who also goes by Tom Telford, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 5 firms and has passed the Series 65, Series 63, SIE 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
April 28, 2016 - March 31, 2022
KESTRA ADVISORY SERVICES, LLC
March 28, 2012 - May 9, 2016
KESTRA INVESTMENT SERVICES, LLC
September 7, 2011 - March 31, 2022
KESTRA INVESTMENT SERVICES, LLC
September 6, 2011 - March 27, 2012
KESTRA INVESTMENT SERVICES, LLC
April 17, 2006 - August 25, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 30, 2000 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
September 24, 1999 - August 25, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 14, 1999 - September 3, 1999
VOYA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
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 |
|---|---|---|
| 12/01/2025 | ||
| 12/23/2024 | ||
| 10/20/2023 |
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.
