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Thomas Patrick Fayen

CONSERVATIVEMONEY
CLEVELAND, OH
·CRD# 1300334·42 years experience

Professional Summary

Thomas Patrick Fayen is a registered financial advisor currently at CONSERVATIVEMONEY LLC located in Cleveland, Ohio. Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Thomas has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 62, Series 22, Series 6 and Series 26 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

42 years in the financial services industry

Current & Past Employments

CONSERVATIVEMONEY LLC·CRD# 121306
RIA
1315 W 76th Street, Cleveland, OH 44102-2030
August 22, 2006 - Present
CAPITAL FINANCIAL SERVICES, INC.·CRD# 8408
RIA
Rocky River, OH
October 25, 2017 - June 3, 2019
CAPITAL FINANCIAL SERVICES, INC.·CRD# 8408
BD
Rocky River, OH
August 13, 2015 - June 3, 2019
CONSERVATIVEMONEY LLC·CRD# 121306
RIA
Rocky River, OH
August 23, 2006 - December 31, 2020
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Rocky River, OH
October 24, 2005 - August 12, 2015
BLUE VASE SECURITIES, LLC·CRD# 46765
BD
Washington, PA
January 3, 2002 - October 24, 2005
SECURITIES AMERICA, INC.·CRD# 10205
BD
Lavista, NE
October 5, 1994 - December 31, 2001
WALNUT STREET SECURITIES, INC.·CRD# 15840
BD
El Segundo, CA
January 7, 1992 - October 3, 1994
WRP INVESTMENTS, INC.·CRD# 7365
BD
Youngstown, OH
June 24, 1991 - January 10, 1992
WALNUT STREET SECURITIES, INC.·CRD# 15840
BD
El Segundo, CA
June 15, 1987 - June 25, 1991
JOHN HANCOCK DISTRIBUTORS LLC·CRD# 5249
BD
April 11, 1986 - June 19, 1987
THE GREAT-WEST LIFE ASSURANCE COMPANY·CRD# 5927
BD
November 16, 1984 - April 21, 1986

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Current Firm

CL
CONSERVATIVEMONEY LLC

CONSERVATIVEMONEY | WEALTH MANAGEMENT GROUP CONSERVATIVE INVESTMENT ADVISORS | FAYEN, THOMAS PATRICK | CONSERVATIVEMONEY LLC

CRD#: 121306 / SEC#: 801-69952
RIA
Registered Investment Advisory firm - SEC (6/7/2012 Terminated)
Ohio
Registered Investment Advisory firm - Ohio (3/21/2012 Approved)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

1315 W 76th Street, Cleveland, OH 44102-2030

Phone Number

(216) 251-2100

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

17

AUM (Assets Under Management)

$10,398,266

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

RIA-CONSERVATIVE MONEY, LLC. YES INVESTMENT RELATED. 20525 CENTER RIDGE ROAD #611 ROCKY RIVER OH 44116. NATURE OF BUSINESS, REGISTERED INVESTMENT ADVISOR.POSITION MANAGING MEMBER, CHIEF COMPLIANCE AND INVESTMENT OFFICER, AND INVESTMENT ADVISOR REPRESENTATIVE. START DATE MARCH 1992. APPROXIMATE NUMBER OF HOUR DEVOTED PER MONTH ABOUT 80%.NUMBER OF HOURS DEVOTED DURING TRADING HOURS ABOUT 80% .DUTIES, CONSERVATIVEMONEY LLC PROVIDES A DAILY MONITORING OF CLIENTS ASSET POSITIONS THAT INCORPORATES AN ACTIVE TACTICAL ASSET RE-BALANCING OF THOSE ASSETS BETWEEN MONEY MARKET, BOND AND STOCK FUND INDEX AND EFT INDEXES AND SECTORS.ALL ASSETS ARE HELD BY A THIRD PARTY CUSTODIAN. NO ACCOUNT IS FULLY DISCRETIONARY. EVERY ACCOUNT HAS LIMITED INVESTMENT ADVISOR DISCRETION ONLY. LIFE, ACCIDENT, HEALTH, AND VARIABLE ANNUITY INSURANCE LICENSED. INVESTMENT RELATED YES FOR VARIABLE ANNUITY INSURANCE, NO FOR OTHERS.20525 CENTER RIDGE ROAD #611, ROCKY RIVER OH 44116. NATURE INSURANCE SALES.BROKERED THROUGH VARIOUS INSURANCE COMPANIES. POSITION LICENSED AGENT. START DATE MARCH 1984. APPROX NUMBER OF HOURS DEVOTED PER MONTH ABOUT 2% OF THE TIME OR APPROX 2 HOURS PER MONTH. APPROX NUMBER OF HOUR DEVOTED PER MONTH DURING SECURITIES APPROX 2% OF THE TIME OR 2 HOURS PER MONTH. DUTIES, SALES OF LIFE, ACCIDENT, HEALTH,AND VARIABLE ANNUITY INSURANCE.THOMAS P. FAYEN IS LICENSED WITH THE STATE OF OHIO IN MAJOR INSURANCE LINES: LIFE, HEALTH AND ANNUITY. THOMAS P. FAYEN MAY SELL INSURANCE PRODUCTS THAT MAY GENERATE A COMMISSION IF THE PRODUCT IS PURCHASED, AND THE CLIENT MAY ALSO BE A CLIENT OF CONSERVATIVEMONEY LLC THOMAS P. FAYEN HAS EARNED THE NATIONAL SOCIAL SECURITY ADVISOR CERTIFICATE AND HAS IN THE PAST HIRED THIRD PARTY LEAD GENERATION FIRMS THAT CONTACT PEOPLE IN OHIO WHO ARE INTERESTED IN LEARNING MORE ABOUT THEIR SOCIAL SECURITY BENEFITS. FIXED INSURANCE THROUGH VARIOUS INSURANCE COMPANIES.

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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.
IAR
Ohio
(8/22/2006)

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.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2009About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2002About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 62 — Corporate Securities Limited Representative Examination

Passed Dec 1988

Series 22 — Direct Participation Programs Representative Examination

Passed Jul 1986About the Series 22 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 1984About the Series 6 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Dec 1994About the Series 26 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Thomas Patrick Fayen's CRS (Customer Relationship Summary).

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TF
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