Thomas A. Padovano

EXCHANGE PLACE ADVISORS

Sudbury, MA 01776

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CRD#: 1341850

Professional summary

Thomas Anthony Padovano is a registered financial advisor currently at EXCHANGE PLACE ADVISORS, LLC located in Sudbury, Massachusetts.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Thomas has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 6 and Series 8 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Anthony Padovano'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®

None

Experience

Current

March 15, 2004 - Present

EXCHANGE PLACE ADVISORS, LLC

Office #1: 121 Boston Post Road Unit 6, Sudbury, MA 01776

RIA

CRD#: 125240

Sudbury, MA

Past

February 26, 1997 - April 6, 2004

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BURLINGTON, MA

Past

December 7, 1989 - April 6, 2004

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

March 10, 1988 - March 29, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

Past

July 24, 1985 - March 31, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

Past

February 15, 1985 - June 25, 1985

SIGNATOR INVESTORS, INC.

CRD#: 468

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".

EXCHANGE PLACE ADVISORS, LLC

CRD#: 125240 / SEC#: 801-63511

RIA

Registered Investment Advisory firm - (9/16/2004 Approved)

Massachusetts

Registered Investment Advisory firm - (9/28/2004 Terminated)

Texas

Registered Investment Advisory firm - (9/28/2004 Terminated)

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).

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(3/15/2004)

IAR

Texas
(4/5/2004)

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

State Security Law Exam

IAR

Series 65

Date: 12/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/13/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/28/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/12/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 8

Date: 2/13/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

EXCHANGE PLACE ADVISORS, LLC

CRD#: 125240 / SEC#: 801-63511

RIA

Registered Investment Advisory firm - (9/16/2004 Approved)

Massachusetts

Registered Investment Advisory firm - (9/28/2004 Terminated)

Texas

Registered Investment Advisory firm - (9/28/2004 Terminated)

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Contact information

Main Address

121 Boston Post Road Unit 6, Sudbury, MA 01776

Mailing Address

Phone number

(978) 443-4405

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EXCHANGE PLACE ADVISORS, LLC DISCLOSURE BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	718
AUM (Assets Under Management)	$ 354,041,953

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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Thomas A. Padovano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Anthony Padovano's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

EXCHANGE PLACE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/1999

Series 63

Date: 3/13/1985

Series 3

Date: 5/28/1987

Series 7

Date: 7/20/1985

Series 6

Date: 2/12/1985

Series 8

Date: 2/13/1995

Current Firm

EXCHANGE PLACE ADVISORS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EXCHANGE PLACE ADVISORS, LLC

TRUST BUT VERIFY

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