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TB

Thomas J. Berger

FBL MARKETING SERVICES
Rapid City, SD 57701
Some features on this profile are disabled
CRD#: 4836128
TB

Professional summary

Thomas John Berger is a registered financial professional currently at FBL MARKETING SERVICES, LLC located in Rapid City, South Dakota.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2004. Thomas has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas John Berger'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®
None

Experience

Current

May 3, 2010 - Present

FBL MARKETING SERVICES, LLC

Office #1: 550 N 5th St Suite 207, Rapid City, SD 57701Office #2: 109 N Chicago St #2, Hot Springs, SD 57747
BD
CRD#: 5309
Rapid City, SD
Past

April 9, 2007 - September 19, 2007

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
RAPID CITY, SD
Past

February 14, 2007 - September 19, 2007

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
RAPID CITY, SD
Past

September 2, 2005 - June 1, 2006

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA
CRD#: 3641
RAPID CITY, SD
Past

August 26, 2005 - September 2, 2005

FIRST COMMAND BANK

RIA
CRD#: 128851
FORT WORTH, TX
Past

October 18, 2004 - June 1, 2006

FIRST COMMAND BROKERAGE SERVICES, INC.

BD
CRD#: 3641
RAPID CITY, SD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Montana
(5/27/2014)
RR
South Dakota
(5/31/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 5/28/2010
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/25/2005
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/1/2010
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 4/5/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FM
FBL MARKETING SERVICES, LLC
EQUITRUST MARKETING SERVICES, INC. | PFS SALES, INC | FBL MARKETING SERVICES, LLC | FBL MARKETING SERVICES, INC. | EQUITRUST MARKETING SERVICES, LLC

CRD#: 5309 / SEC#: , 8-15855

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
5400 University Avenue, West Des Moines, IA 50266
Mailing Address
5400 University Avenue, West Des Moines, IA 50266
Phone number
(515) 225-5400
Established
Iowa since 08/15/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FBL FINANCIAL GROUP, INCOWNER
ALDRIDGE, ANTHONY JAMESCHIEF ACCOUNTING OFFICER5999478
GLEASON, MATHEW EVERETTEPRESIDENT6434929
MAY, CLINT JAMESVICE PRESIDENT ASSISTANT GENERAL COUNSEL4129595
MCGONEGLE, JULIE MARIEFINANCIAL SERVICES ADMINISTRATION VICE PRESIDENT2188891
MORGAN, JENNIFER LEACHIEF COMPLIANCE OFFICER & ASST. SECRETARY2550729
NELSON, JAMES ARTHURMANAGER LIFE ACCOUNTING AND FINOP4640561
O'TOOL, MICHAEL DEANDIRECTOR COMPLIANCE2570040
SEIBEL, DONALD JOSEPHTREASURER6140054
SHRYACK, CHRISTOPHER THOMASVICE PRESIDENT LIFE SALES2105590
ST CLAIR, KARI LOUISEDIRECTOR, MARKETING SVCS & FIELD SUPPORT3168561

Disclosures

Regulatory Event1

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.

Company Information

FBL MARKETING SERVICES, LLC

CRD#: 5309Rapid City, SD 57701

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