Thomas C. Felner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Christopher Felner, who also goes by Tom Felner, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2004 - May 21, 2020
FISHER INVESTMENTS
October 12, 1998 - July 2, 2003
GLOBAL ATLANTIC DISTRIBUTORS, LLC
January 25, 1993 - December 1, 1997
PEOPLE'S SECURITIES, INC.
July 22, 1988 - August 14, 1989
EQUITABLE ADVISORS, LLC
June 23, 1988 - August 14, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 12, 1985 - June 24, 1988
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
