TA
Thomas J. Avery
NFSG
Boca Raton, FL 33432
Some features on this profile are disabled
CRD#: 1377280
TA
Professional summary
Thomas John Avery, who also goes by Tom Avery, is a registered financial advisor currently at NFSG CORPORATION located in Boca Raton, Florida and NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 21 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Avery
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) UBER TECHNOLOGIES INC.: 1455 MARKET STREET SUITE 400 SAN FRANCISCO CA 94103. DRIVER SINCE 12/2017, NON INVESTMENT RELATED, APROX 10 HRS. A WEEK DURING NON TRADING HOURS. (2) LYFT.: 1616 CAMDEN ROAD CHARLOTTE NC 28203. DRIVER SINCE 11/2018, NON INVESTMENT RELATED, APPROX 10 HRS. A WEEK DURING NON TRADING HOURS. (3) AMAZON FLEX.: 410 TERRY AVENUE NORTH SEATTLE WA 98109. DELIVERY DRIVER SINCE 10/2018, NON INVESTMENT RELATED, APPROX 10 HRS, A WEEK DURING NON TRADING HOURS. (4) INSTACART INC.: FLORIDA SHOPPER/APRIL 2020, GROCERY SHOPPING AND DELIVERY SERVICE, NON INVESTMENT RELATED, APPROX 10 HRS, A WEEK DURING NON TRADING HOURS. (5) SHIPT: FLORIDA SHOPPER/JULY 2020, SHOP AND DELIVER GROCERIES., NON INVESTMENT RELATED, APPROX 10 HRS, A WEEK DURING NON TRADING HOURS. (6) ROADIE: FLORIDA DRIVER/MARCH 2020, DELIVER PRODUCTS TO CUSTOMERS, NON INVESTMENT RELATED, APPROX 10 HRS, A WEEK DURING NON TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas John Avery's 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®
NoneExperience
Current
October 24, 2022 - Present
NFSG CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432RIA
CRD#: 130814
Boca Raton, FL
Current
September 14, 2020 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432Office #2: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432BD
CRD#: 104065
Boca Raton, FL
Past
November 29, 2017 - March 18, 2019
ALLY INVEST SECURITIES LLC
BD
CRD#: 136131
FORT LAUDERDALE, FL
Past
January 17, 2014 - October 30, 2017
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
FT. LAUDERDALE, FL
Past
August 20, 2012 - October 30, 2017
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
FT. LAUDERDALE, FL
Past
March 30, 2006 - November 12, 2009
INVESTACORP, INC.
BD
CRD#: 7684
MIAMI, FL
Past
July 12, 2005 - March 8, 2006
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
Past
May 25, 2004 - May 25, 2005
LIGHTSPEED PROFESSIONAL TRADING LLC
BD
CRD#: 39293
NEW YORK, NY
Past
January 7, 2004 - January 13, 2004
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
September 23, 2003 - December 2, 2003
JEMMINI SECURITIES, LLC
BD
CRD#: 119665
NEW YORK, NY
Past
October 16, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
October 16, 1998 - November 22, 2002
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
October 25, 1995 - August 25, 1998
WALL STREET EQUITIES INCORPORATED
BD
CRD#: 18432
NEW YORK, NY
Past
May 12, 1995 - July 18, 1995
WALL STREET ACCESS
BD
CRD#: 10012
NEW YORK, NY
Past
February 6, 1995 - June 5, 1995
INVESTEX SECURITIES GROUP, INC.
BD
CRD#: 30094
NEW YORK, NY
Past
October 3, 1994 - December 8, 1994
NEBRASKA HUDSON COMPANY, INC.
BD
CRD#: 27501
OMAHA, NE
Past
March 13, 1992 - September 30, 1994
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
March 14, 1989 - May 29, 1991
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
December 16, 1987 - April 14, 1988
OMNI MUTUAL, INC.
BD
CRD#: 10243
Past
September 18, 1987 - November 16, 1987
AUSTIN SECURITIES, INC.
BD
CRD#: 17094
Past
March 5, 1987 - September 17, 1987
TIJA MANAGEMENT, INC.
BD
CRD#: 11069
Past
September 24, 1986 - March 12, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
BD
CRD#: 14156
Past
August 13, 1986 - September 24, 1986
PACKARD GROUP INC.
BD
CRD#: 16722
Past
December 17, 1985 - May 20, 1986
BROOKS WEINGER ROBBINS & LEEDS INC.
BD
CRD#: 14156
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".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)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.RR
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
RR
Florida(9/15/2020)
IAR
Florida(10/24/2022)
RR
New York(9/15/2020)
RR
North Carolina(2/28/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/6/2006
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/6/1990
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
Company Information
NFSG CORPORATION
CRD#: 130814Boca Raton, FL 33432TRUST BUT VERIFY
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