Thomas B. Bastin

WEALTHSPIRE RETIREMENT ADVISORY

Weston, FL

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CRD#: 3261301

Professional summary

Thomas Brian Bastin Mr., AIF®, who also goes by Thomas Brian Bastin, Thomas Brian Simkins, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Weston, Florida.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Thomas has worked at 8 firms and has passed the Series 63, Series 65, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Brian Bastin | Thomas Brian Simkins

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 Brian Bastin Mr.'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

March 1, 2016 - Present

WEALTHSPIRE RETIREMENT ADVISORY

RIA

CRD#: 121254

Weston, FL

Past

December 2, 2005 - July 1, 2016

ERISA FIDUCIARY ADVISORS, INC.

RIA

CRD#: 137879

WESTON, FL

Past

June 12, 2003 - December 2, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

WESTON, FL

Past

June 2, 2003 - December 2, 2005

LPL FINANCIAL LLC

CRD#: 6413

WESTON, FL

Past

December 6, 2002 - April 30, 2003

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

October 11, 2001 - December 3, 2002

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

LONGWOOD, FL

Past

June 18, 2001 - September 27, 2001

CREAND SECURITIES

CRD#: 38964

MIAMI, FL

Past

August 14, 1999 - June 1, 2001

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

August 14, 1999 - June 1, 2001

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(3/24/2016)

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

Series 63

Date: 12/28/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/27/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 11/20/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/10/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/2002

General Securities Principal Examination

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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Contact information

Main Address

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

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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Thomas B. Bastin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Brian Bastin Mr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

ERISA FIDUCIARY ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SECURITIES SERVICE NETWORK, LLC

EMPIRE FINANCIAL GROUP, INC.

CREAND SECURITIES

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 63

Date: 12/28/2001

Series 65

Date: 12/27/1999

Series 7

Date: 11/20/2001

Series 6

Date: 8/10/1999

Series 24

Date: 5/6/2002

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

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