Thomas Bastian, financial advisor Chandler AZ
83 score

Thomas Bastian

CRD Number: 1397252
Current Firm: Voya Financial Advisors, Inc.

Thomas Bastian (CRD# 1397252) is an Investment Advisor Representative working at Voya Financial Advisors, Inc. in Chandler, AZ and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Voya Financial Advisors Chandler, AZ Sep 2014 - Current 2
Ing Financial Partners, Inc. Gilbert, AZ Feb 2009 - Sep 2014 5
Aig Phx, AZ May 2008 - Feb 2009 < 1
Linsco Private Ledger Mesa, AZ Feb 2007 - May 2008 1
Drb Wealth Management Mesa, AZ Feb 2007 - May 2008 1
Banc Of America Investment Services, Inc. Mesa, AZ Jul 1999 - Feb 2007 7
Banc Of America Inv. Ser. Mesa, AZ Feb 1997 - Feb 2007 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1985
S65 NASAA Investment Advisors Law Examination Sep 1997
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Thomas J. Bastian
Phone Number: 1-800-356-2906
Registered State(s):
  • AZ
By the Numbers
  • Total Assets Under Management
    9,298
    MILLIONS
  • Total Number of Accounts
    59,441
    ACCOUNTS
  • Average Account Value
    $156,432
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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