Thomas Buehler Email & Phone Number

Greater Atlanta Area

Licensed in GA, KS, MO & TX. with a primary focus on Medicare products. Additionally I am licensed in GA with a Property & Casualty (P & C) license.

Atlanta, GA, US

Worked on an as needed, when needed basis primarily for or with Middle Schools in the North Fulton (GA) county corridor - serving schools East and West of Georgia 400.

Independent Insurance Agent specializing in Medicare insurance. Licensed in Life, Health, and Property & Casualty.

Worked with the Securities Specialist as a Non-Registered Fingerprinted (NRF) position. Performed administrative duties helping him with his sales and insurance needs.

Registered Assistant. Additionally worked with or for three sales managers in their recruiting efforts. Further helped or assisted the branch agency recruiter with recruiting efforts on an as needed basis.

Registered Assistant for the agent of the branch office.

Served in both the Operations and Compliance departments as needed. The firm is a full service I/A - B/D based in Atlanta, GA. I assisted the operations department with the review and verification (C. I. P.) of new accounts, as the firm had a major influx of I/A's and R/R's in the last quarter of 2010. While in the compliance area I was mainly responsibile.

Served as a compliance consultant in an intern capacity for seven weeks. I served under and reported to Agency Supervisory Officer of Piedmont Financial Group LLC. In co-ordination with this supervisor I helped ensure that our financial professionals conduct their business in an ethical manner and in compliance with the regulations that apply to our.

Assistant to the Chief Compliance Officer (C. C. O.)Assisted Operations Department as neededAssisted Management during a clearing firm conversion

Securities and investment advisory services offered through FSC Securities Corporation, member FINRA, SIPC and an SEC-Registered Investment Adviser. AIG Advisor Group is the marketing designation for the wholly owned subsidiary broker-dealer members of AIG.

• Atlanta-based regional independent broker dealer with national exposure; reported to Executive Vice President.
• Supervised field managers at the corporate and field level.
• Maintained oversight of 25 supervisors/managers of branch offices, OSJs, and non-registered offices.
• Reviewed daily trading activity of offices and representatives.
• Ensured compliance with company and industry rules, regulations, policies and procedures.
• Assisted the Registered Investment Advisor in completing 2008 branch or individual I/As regulatory or contractual obligations.

• Atlanta-based full service broker dealer; reported to President.
• Provided daily administration and oversight for the policies, procedures, rules and regulations.
• Monitored and reviewed compliance functions and duties inherent to the B/D.
• Anti-Money Laundering Officer.
• Reviewed and revised Written Supervisory Procedures (WSPs) of the B/D.
• Developed and implemented Compliance Manual.Position eliminated due to firm closure.

• Atlanta-based financial advisory services firm; specialized in developing the top line of micro-cap companies; reported to President (Owner).
• Served as the assistant to the President.
• Assisted in the transition/corporate restructuring leading into Teton Investment Partners

• Alpharetta (GA)-based broker dealer; reported to Board of Directors.
• Managed full regulatory responsibilities of the broker dealer.
• Supervised a staff of registered and non-registered personnel in the U.S.
• Supervised one Foreign Associate (F/A) in Riyadh, Saudi Arabia (KSA).Position eliminated due to company closure.

• Atlanta based broker dealer; reported to Board of Directors.
• Supervised a U.S staff of registered and non-registered personnel.
• Supervised three (3) F/A’s in non-registered office locations in Riyadh, KSA.Position eliminated due to company closure.

• Satellite Office Manager, Atlanta, GA
• Dually registered with the above firms during the time periods noted.
• Responsible for the day to day oversight of all branch activities, with an emphasis on monitoring all electronic trading.