Thomas P. Masterson
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 Patrick Masterson, who also goes by Thom Masterson, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 14 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2020 - August 19, 2020
CREATIVE FINANCIAL DESIGNS, INC.
February 5, 2020 - August 19, 2020
CFD INVESTMENTS, INC.
May 19, 2017 - October 18, 2019
HORACE MANN INVESTORS, INC.
January 17, 2017 - October 18, 2019
HORACE MANN INVESTORS, INC.
January 19, 2016 - December 1, 2016
VALIC FINANCIAL ADVISORS, INC.
December 7, 2015 - December 1, 2016
VALIC FINANCIAL ADVISORS, INC.
January 31, 2015 - February 19, 2015
EDWARD JONES
July 2, 2010 - February 14, 2014
HORACE MANN INVESTORS, INC.
February 10, 2005 - September 30, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 10, 2005 - September 30, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 18, 2004 - December 16, 2004
BLUE VASE SECURITIES, LLC
May 12, 2004 - December 16, 2004
BLUE VASE SECURITIES, LLC
November 25, 2003 - May 18, 2004
TOUCHSTONE SECURITIES, INC.
February 18, 2003 - July 17, 2003
ALLSTATE FINANCIAL SERVICES, LLC
January 19, 2001 - October 28, 2002
VERAVEST INVESTMENTS, INC.
October 16, 2000 - December 19, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 16, 2000 - December 19, 2000
OSAIC FA, INC.
July 11, 2000 - October 5, 2000
NATHAN & LEWIS SECURITIES, INC.
May 16, 2000 - July 10, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
Primary Firm SEC Registration
CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
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
CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,029 |
| AUM (Assets Under Management) | $ 2,478,773,967 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 01/05/2024 | ||
| 01/10/2023 |
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.
