Thomas M. Glynn

EXCELSIOR ADVISOR NETWORK LLC

SCOTTSDALE, AZ

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CRD#: 1162403

Professional summary

Thomas Matthew Glynn, CIMA® is a registered financial advisor currently at EXCELSIOR ADVISOR NETWORK LLC located in Scottsdale, Arizona and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.) EAGLE ROCK WEALTH MGMT - 10/17/25 - 14624 N Scottsdale Road, Suite 195, Scottsdale, AZ 85254 - Partner/Wealth Advisor, Developing financial plans & executing strategies, Invt Rel, Wealth Management business, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) SIMPLICITY - 10/17/25 - 14624 N Scottsdale Road, Suite 195, Scottsdale, AZ 85254 - Advisor, Executing financial plans, Invt Rel, Insurance business, 10 hrs/mo; 10 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Matthew Glynn's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

October 20, 2025 - Present

EXCELSIOR ADVISOR NETWORK LLC

RIA

CRD#: 334779

SCOTTSDALE, AZ

Current

October 17, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

February 28, 2014 - October 28, 2025

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

SCOTTSDALE, AZ

Past

February 28, 2014 - October 28, 2025

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

SCOTTSDALE, AZ

Past

January 29, 2010 - March 10, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SCOTTSDALE, AZ

Past

August 12, 2006 - March 10, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SCOTTSDALE, AZ

Past

August 25, 2000 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

SCOTTSDALE, AZ

Past

July 8, 1994 - August 31, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 7, 1990 - July 15, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

August 6, 1985 - December 13, 1990

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

July 21, 1983 - August 14, 1985

LEHMAN BROTHERS INC.

CRD#: 7506

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EXCELSIOR ADVISOR NETWORK LLC

BV PRIVATE WEALTH | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT

CRD#: 334779 / SEC#: 801-132014

RIA

Registered Investment Advisory firm - (3/4/2025 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(10/17/2025)

IAR

Arizona
(10/20/2025)

California
(10/17/2025)

IAR

Colorado
(10/20/2025)

Florida
(10/17/2025)

Illinois
(10/17/2025)

Maine
(10/17/2025)

Michigan
(10/17/2025)

Minnesota
(10/31/2025)

North Carolina
(10/17/2025)

South Dakota
(10/17/2025)

Texas
(10/17/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/30/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/26/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 8/29/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/16/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EXCELSIOR ADVISOR NETWORK LLC

BV PRIVATE WEALTH | JOE HARDEE INVESTMENT MANAGEMENT LLC | EXCELSIOR WEALTH MANAGEMENT LLC | EXCELSIOR ADVISOR NETWORK LLC | EAGLE ROCK WEALTH MANAGEMENT

CRD#: 334779 / SEC#: 801-132014

RIA

Registered Investment Advisory firm - (3/4/2025 Approved)

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Contact information

Main Address

Denver, CO

Mailing Address

Po Box 6195, Denver, CO 80206

Phone number

(303) 351-6436

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (11/5/2025)

Regulatory assets under management

Total Number of Accounts	78
AUM (Assets Under Management)	$ 150,007,226

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas M. Glynn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Matthew Glynn's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

PRUDENTIAL EQUITY GROUP, LLC

KIDDER, PEABODY & CO. INCORPORATED

RAUSCHER PIERCE REFSNES, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

EXCELSIOR ADVISOR NETWORK LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/30/1992

Series 63

Date: 7/29/1983

SIE

Date: 10/1/2018

Series 31

Date: 11/26/1996

Series 3

Date: 8/29/1983

Series 7

Date: 7/16/1983

FINRA

Current Firm

EXCELSIOR ADVISOR NETWORK LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EXCELSIOR ADVISOR NETWORK LLC

TRUST BUT VERIFY

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