THOMAS ANTHONY KIEFFER

THOMAS ANTHONY KIEFFER is currently employed as a Broker and/or Investment Adviser at CEROS FINANCIAL SERVICES, INC. located at 1415 ELBRIDGE PAYNE ROAD, STE 140, CHESTERFIELD, MO, 63017.

THOMAS ANTHONY KIEFFER has worked at CEROS FINANCIAL SERVICES, INC. since January 04, 2010

Disclosure History

THOMAS ANTHONY KIEFFER has 1 Disclosure Event(s).

Date: May 12, 2017
Category: Customer Dispute
Allegations: [Customer] had been a client of St. Louis Financial Planners since 1994 and was always aware of stock risk and wanted to be in stocks. This was verified by Thomas
Damage Amount Requested: $89,000.00
Settlement Amount: $45,000.00 17-01213

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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