Thomas Mathews, financial advisor Johns Creek GA
51 score

Thomas Mathews

CRD Number: 1109573
Current Firm: Transamerica Financial Advisors, Inc.

Thomas Mathews (CRD# 1109573) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Johns Creek, GA and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Wealthwave, LLC Johns Creek, GA Aug 2014 - Current 2
Transamerica Financial Advisors, Inc. Johns Creek, GA Jan 2012 - Current 4
Heart Media, LLC Duluth, GA Feb 2011 - Current 5
Heart Property Mgt Duluth, GA May 2006 - Current 10
Simple Truths Dundee, IL Oct 2004 - Current 12
World Financial Group Duluth, GA Jun 2001 - Current 15
Investment Advisors International Duluth, GA Jul 2006 - Jan 2012 5
World Group Securities, Inc. Duluth, GA Apr 2002 - Jan 2012 9
Heart Marketing, LLC Duluth, GA May 2005 - Feb 2011 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1983
S65 NASAA Investment Advisors Law Examination Nov 2005
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
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Thomas R. Mathews
Phone Number: 727-299-1800
Registered State(s):
  • DC
  • GA
  • NJ
  • NC
  • TX
By the Numbers
  • Total Assets Under Management
    4,493
    MILLIONS
  • Total Number of Accounts
    33,842
    ACCOUNTS
  • Average Account Value
    $132,767
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
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
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, VI, VT, WA, WI, WV

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BADGES
51

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