Thomas James Carstens

ChFC

Pelion Investment Advisors, INC.

34 Years of Experience

5 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment Management

Pelion Investment Advisors, INC.

Compensation

Fee-Only (AUM)

Firm Size

2 advisors

Number of Clients

43 clients

Average Client Portfolio

$1.4M average

Assets Under Management

$58.9M

Location

15150 Preston Road, Suite 300, Dallas, TX, 75248

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History

Regulatory History (5)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

June 2022

Denied

Customer Dispute

February 2017

Denied

Customer Dispute

January 2014

Denied

Customer Dispute

November 2013

Denied

Customer Dispute

May 2004

Denied

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Other Business Activities

Thomas is affiliated with First Liberties Financial, the broker-dealer that sponsors his investment advisor representative licenses.

Employment History

Current Registrations

Pelion Investment Advisors, INC.

December 2021 - Present · 4 yrs 2 mos

First Liberties Financial

February 2011 - Present · 15 yrs

First Liberties FinancialBroker

February 2011 - Present · 15 yrs

Previous Registrations

Lenox Advisors, INC.

June 2002 - January 2010 · 7 yrs 7 mos

MML Investors Services, INC.

May 2002 - December 2010 · 8 yrs 7 mos

MML Investors Services, INC.Broker

May 1991 - December 2010 · 19 yrs 7 mos

State Registrations12 states

CACOCTDEFLILMSNJSDTNTXWI

AdvisorBrokerBoth

Exams

No exam information available for this advisor.