Thomas W. Anderson
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 William Anderson, who also goes by Tom Anderson, Tommy Anderson, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2006. Thomas had worked at 6 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 1, 2019 - August 15, 2019
FIRST COMMAND ADVISORY SERVICES
April 1, 2019 - August 15, 2019
FIRST COMMAND BROKERAGE SERVICES, INC.
May 1, 2018 - September 20, 2018
PRINCIPAL SECURITIES, INC.
April 16, 2018 - September 20, 2018
PRINCIPAL SECURITIES, INC.
September 15, 2016 - April 10, 2017
LINCOLN INVESTMENT
September 15, 2016 - April 10, 2017
CAPITAL ANALYSTS
November 30, 2015 - April 10, 2017
LINCOLN INVESTMENT
August 14, 2006 - March 15, 2013
PENTEGRA INVESTORS, INC.
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
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
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
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.
