AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TL

Thomas R. Lundberg

Some features on this profile are disabled
CRD#: 702224
TL

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 Robert Lundberg, who also goes by Tom Lundberg, was a registered financial advisor .

Thomas is a previously registered financial advisor and started their career in finance in 1979. Thomas had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Lundberg

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 17, 2009 - December 31, 2009

SYNERGY INVESTMENT GROUP, LLC

RIA
CRD#: 46035
OVERLAND PARK, KS
Past

March 16, 2009 - October 11, 2010

SYNERGY INVESTMENT GROUP, LLC

BD
CRD#: 46035
OVERLAND PARK, KS
Past

July 30, 2007 - December 31, 2007

SYNERGY INVESTMENT GROUP, LLC

RIA
CRD#: 46035
OVERLAND PARK, KS
Past

July 2, 2007 - December 31, 2008

SYNERGY INVESTMENT GROUP, LLC

BD
CRD#: 46035
OVERLAND PARK, KS
Past

December 14, 2006 - May 17, 2007

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
OVERLAND PARK, KS
Past

December 14, 2006 - May 17, 2007

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
OVERLAND PARK, KS
Past

June 7, 2004 - December 14, 2006

SYNERGY INVESTMENT GROUP, LLC

RIA
CRD#: 46035
OVERLAND PARK, KS
Past

April 19, 2004 - December 14, 2006

SYNERGY INVESTMENT GROUP, LLC

BD
CRD#: 46035
OVERLAND PARK, KS
Past

March 23, 2000 - February 18, 2004

SENTRA SECURITIES CORPORATION

RIA
CRD#: 10249
OVERLAND PARK, KS
Past

February 29, 2000 - February 18, 2004

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

June 12, 1998 - April 10, 2000

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA
Past

December 19, 1979 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

December 19, 1979 - June 23, 1998

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

December 19, 1979 - June 23, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/11/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/13/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 12/12/1979
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/23/1989
General Securities Principal Examination

Current Firm

SI
SYNERGY INVESTMENT GROUP, LLC
A.D. VALLETT & CO. | WHITLEY FINANCIAL, LLC | W. RALEIGH SEXTON JR., INC. | TAX & RETIREMENT PLANNING | SYNERGY WEALTH MANAGEMENT | SYNERGY INVESTMENT GROUP, LLC | SYNERGY BUSINESS ADVISORS, LLC | SYNERGY ADVISORY GROUP | STRATEGIC INVESTMENT DESIGNS | SANDEFER MAYO, LLC | RETIREMENT BY DESIGN | PENN NORTH FINANCIAL SERVICES | OVERSON TAX ADVISORY, INC. | OVERSON ADVISORY GROUP | OLD TOWNE FINANCIAL MANAGEMENT, INC. | OKLAHOMA FINANCIAL GROUP | MCCULLEY & WILKINSON, INC. | LBS FINANCIAL SERVICES, LLC | JOHN M. BLUMBERG, CPA, PC | INA TAX ADVISORS, INC. | HULSEY FINANCIAL SERVICES | HANEY & ALEXANDER INVESTMENT MANAGEMENT | FOX & FIN AND LIPSKI SECURITIES | DON E. SMITH CO. | DEVON FINANCIAL GROUP, LTD | COMPASS WEALTH MANAGEMENT | CLOUT, INC. | CHARTER FINANCIAL GROUP | BUFFALO SHIELD FINANCIAL PLANNING | BRIDGEDAL CAPITAL MANAGEMENT | AVELLAR ADVISORS, INC. | ARRIBA INVESTMENT MANAGEMENT | ARRIBA INVESMENT & EXCHANGE CORPORATION | ADVANTAGE FINANCIAL SERVICES

CRD#: 46035 / SEC#: 801-68315, 8-51278

RIA
Registered Investment Advisory firm - SEC (11/28/2012 Terminated)
Arizona
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)
Colorado
Registered Investment Advisory firm - SEC (11/23/2012 Approved)
Connecticut
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Georgia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Indiana
Registered Investment Advisory firm - SEC (11/13/2007 Terminated)
Maryland
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Nevada
Registered Investment Advisory firm - SEC (12/17/2007 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (7/1/2012 Approved)
Ohio
Registered Investment Advisory firm - SEC (12/31/2013 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (7/13/2012 Approved)
Tennessee
Registered Investment Advisory firm - SEC (12/9/2007 Terminated)
Virginia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Wyoming
Registered Investment Advisory firm - SEC (12/6/2017 Terminated)
BD
Terminated by SEC on 05/05/2012
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
708 Mclain Road, Kannapolis, NC 28083
Mailing Address
Phone number
(704) 295-6692
Established
North Carolina since 07/28/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
6

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SYNERGY HOLDING GROUPMEMBER
HAYES, JOSEPH PATRICKCHIEF COMPLIANCE OFFICER4289211
JONES, JEFFREY DEANPART OWNER4188324
VANHAMME, TRACY MFINOP5378592

Regulatory assets under management

Total Number of Accounts324
AUM (Assets Under Management)$ 53,106,235

Disclosures

Regulatory Event7
Arbitration2

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

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

TRUST BUT VERIFY

Monitor Thomas Lundberg

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics