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Thomas Ira Matthews

Pfg Advisors

Phoenix, AZ

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Current Employers
Pfg Advisors

3200 N. Central Ave Suite #200, Phoenix, AZ 85012 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2024-01-22
CA RA APPROVED 2024-01-22
  • AZ RA
    APPROVED
    Since 2024-01-22
  • CA RA
    APPROVED
    Since 2024-01-22

Branch Locations

3200 N. Central Ave Suite #200, Phoenix, AZ 85012 • 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
The Vanguard Group, Inc. Scottsdale AZ 05/2021 07/2023
Unemployed Denver CO 11/2020 05/2021
Ngl Energy Partners Lp Denver CO 07/2010 11/2020
Securities America, Inc. Phoenix AZ 07/2023 06/2024
Pfg Advisors, Llc Phoenix AZ 07/2023 Present
Osaic Wealth, Inc. Phoenix AZ 06/2024 11/2025
United Planners Scottsdale AZ 11/2025 Present
Pfg Advisors Phoenix AZ 07/2023 Present
  • 05/2021 → 07/2023
    The Vanguard Group, Inc.
    Scottsdale, AZ
  • 11/2020 → 05/2021
    Unemployed
    Denver, CO
  • 07/2010 → 11/2020
    Ngl Energy Partners Lp
    Denver, CO
  • 07/2023 → 06/2024
    Securities America, Inc.
    Phoenix, AZ
  • 07/2023 → Present
    Pfg Advisors, Llc
    Phoenix, AZ
  • 06/2024 → 11/2025
    Osaic Wealth, Inc.
    Phoenix, AZ
  • 11/2025 → Present
    United Planners
    Scottsdale, AZ
  • 07/2023 → Present
    Pfg Advisors
    Phoenix, AZ
Other Businesses

1.) PFG ADVISORS - ANALYTICS & ADVISOR SUPPORT - REGISTERED INVESTMENT ADVISOR - PHOENIX, AZ - SINCE 07/2023 - INVESTMENT RELATED

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-01-19
S63 Uniform Securities Agent State Law Examination 2021-02-24
  • S65 Uniform Investment Adviser Law Examination
    2024-01-19
  • S63 Uniform Securities Agent State Law Examination
    2021-02-24
Other Names
  • Tom I Matthews
  • Tom Matthews
  • Thomas Matthews

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
ROBERT W. BAIRD & CO. INCORPORATED

Other Investors

DAREN MICHAEL FRANKEBERGER
Kenneth ALEXANDER Riley
Jamie L Morton
HEATH EDWARD WHETSEL
Rizwan B Shah
JOSEPH JOHN MCNAUGHTON
Alyssa Shelton
Frank Iustin Mancuso

Other Offices

EW ADVISER, LLC · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · Phoenix, AZ
UBS FINANCIAL SERVICES INC. · PHOENIX, AZ
KESTRA ADVISORY SERVICES, LLC · PHOENIX, AZ

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