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Thomas Brian Bastin

Wealthspire Retirement Advisory

Weston, FL

Aliso Viejo, CA

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Current Employers
Wealthspire Retirement Advisory

120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2016-03-24
  • FL RA
    APPROVED
    Since 2016-03-24

Branch Locations

Weston, FL • United States

120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Nfp Retirement Aliso Viejo CA 03/2016 10/2025
Wealthspire Retirement Advisory Aliso Viejo CA 10/2025 Present
Previous Registrations
  • 2005-12-02 → 2016-07-01
    Erisa Fiduciary Advisors, Inc.
    Weston, FL
  • 2003-06-12 → 2005-12-02
    Lpl Financial Llc
    Weston, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2001-12-28
S65 Uniform Investment Adviser Law Examination 1999-12-27
  • S63 Uniform Securities Agent State Law Examination
    2001-12-28
  • S65 Uniform Investment Adviser Law Examination
    1999-12-27
Other Names
  • Thomas Brian Simkins
  • Thomas Brian Bastin

View on SEC IAPD

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