TM
Thomas J. Minnella
Some features on this profile are disabled
CRD#: 1412546
TM
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 Joseph Minnella, who also goes by Thomas Joseph Minnella Jr, Tom J Minnella Jr., was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Joseph Minnella Jr | Tom J Minnella Jr.
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
August 12, 2014 - March 13, 2018
ADVISOR RESOURCE COUNCIL
RIA
CRD#: 164109
DALLAS, TX
Past
July 17, 2014 - March 27, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
DALLAS, TX
Past
July 17, 1992 - July 28, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
PLANO, TX
Past
July 17, 1992 - July 28, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PLANO, TX
Past
March 11, 1992 - June 12, 1992
WELLINGTON ASHFORD CAPITAL, INC.
BD
CRD#: 29298
LOUISVILE, CO
Past
April 26, 1991 - July 20, 1992
CULLUM & SANDOW SECURITIES, INC.
BD
CRD#: 15836
DALLAS, TX
Past
May 16, 1990 - February 22, 1991
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
June 18, 1989 - April 12, 1990
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
March 12, 1987 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
May 21, 1986 - March 13, 1987
FFPS BROKERAGE, INC.
BD
CRD#: 15979
Past
October 1, 1985 - May 6, 1986
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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".
AR
ADVISOR RESOURCE COUNCIL
360 WEALTH MANAGEMENT | WALTON & LOURCEY FINANCIAL STRATEGIES | VTI FINANCIAL | VALUES FIRST PLANNING | VALTRUM | TRUEWEALTH MANAGEMENT | THE TEXAS MONEY MANAGER | THE GATTS GROUP | THE AERO ADVISOR | TEXAS STATE FINANCIAL, INC. | TEAM 360 WEALTH MANAGEMENT | SIMMONS WEALTH MANAGEMENT | SILVERMAN LEGATE ADVISORY GROUP | SHELTON FINANCIAL GROUP | ROYAL STONE WEALTH MANAGEMENT | RLBROWN FINANCIAL | RIDGEMARK FINANCIAL | RDR WEALTH MANAGEMENT | PAX FINANCIAL GROUP, LLC | PARSONS WEALTH MANAGEMENT | ORION WEALTH MANAGEMENT | NAPA VALLEY FINANCIAL | MUSSO RETIREMENT ADVISORS | MISSION FINANCIAL ADVISORY SERVICES | MILLS & KERNAN WEALTH MANAGEMENT | MERIT WEALTH ADVISORS, INC. | MERIT WEALTH ADVISORS | MERGENT GROUP | MCLEMORE FINANCIAL GROUP | MAVERICK WEALTH MANAGEMENT | MAVEN WEALTH CONSULTING, LLC | LIGHTFORCE FINANCIAL | LEWIN WEALTH MANAGEMENT | LEMOINE WEALTH MANAGEMENT | KALIVER WEALTH MANAGEMENT | JOHN BAILEY FINANCIAL | JKL INVESTMENT MANAGEMENT | JDR WEALTH MANAGEMENT | JACKSON WEALTH MANAGEMENT | INTEGRATED WEALTH STRATEGIES | INDEPENDENT FINANCIAL STRATEGIES | HOPPER FINANCIAL SERVICES | GENERATIONS FINANCIAL MANAGEMENT | FURNEY FINANCIAL | FRONT LINE ADVISOR GROUP | FOUNDATION WEALTH PARTNERS | FAUBOURG PRIVATE WEALTH | ENCORE WEALTH MANAGEMENT | DON HUBBARD INVESTMENT SERVICES | DAVID H. YOUNG & ASSOCIATES | DARGATZ & COMPANY | DANSBY WEALTH MANAGEMENT | DALLAS FINANCIAL PLANNER | CSB WEALTH MANAGEMENT | COUNCIL FAMILY OFFICE | COJO BAY ADVISORS | COJO BAY ADVIORS, LLC | CASTRINOS FINANCIAL | CARDINAL WEALTH ADVISORS | BIGG FINANCIAL | BENGE FINANCIAL GROUP | BARFIELD WEALTH MANAGEMENT | AZAELA WEALTH PARTNERS | ASHLEY HODGE | ARK CAPITAL | ARC RETIREMENT CONSULTANTS | ARC ASSET MANAGEMENT | AMPLIO WEALTH MANAGEMENT | AIQ ASSET MANAGEMENT | ADVISOR RESOURCE COUNCIL | ABACUS WEALTH BUILDERS | 360 WEALTH PLANNERS LLC | 360 WEALTH PARTNERS | 360 WEALTH MANAGEMENT, LLC
CRD#: 164109 / SEC#: 801-76667
RIA
Registered Investment Advisory firm - (6/1/2012 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AR
ADVISOR RESOURCE COUNCIL
360 WEALTH MANAGEMENT | WALTON & LOURCEY FINANCIAL STRATEGIES | VTI FINANCIAL | VALUES FIRST PLANNING | VALTRUM | TRUEWEALTH MANAGEMENT | THE TEXAS MONEY MANAGER | THE GATTS GROUP | THE AERO ADVISOR | TEXAS STATE FINANCIAL, INC. | TEAM 360 WEALTH MANAGEMENT | SIMMONS WEALTH MANAGEMENT | SILVERMAN LEGATE ADVISORY GROUP | SHELTON FINANCIAL GROUP | ROYAL STONE WEALTH MANAGEMENT | RLBROWN FINANCIAL | RIDGEMARK FINANCIAL | RDR WEALTH MANAGEMENT | PAX FINANCIAL GROUP, LLC | PARSONS WEALTH MANAGEMENT | ORION WEALTH MANAGEMENT | NAPA VALLEY FINANCIAL | MUSSO RETIREMENT ADVISORS | MISSION FINANCIAL ADVISORY SERVICES | MILLS & KERNAN WEALTH MANAGEMENT | MERIT WEALTH ADVISORS, INC. | MERIT WEALTH ADVISORS | MERGENT GROUP | MCLEMORE FINANCIAL GROUP | MAVERICK WEALTH MANAGEMENT | MAVEN WEALTH CONSULTING, LLC | LIGHTFORCE FINANCIAL | LEWIN WEALTH MANAGEMENT | LEMOINE WEALTH MANAGEMENT | KALIVER WEALTH MANAGEMENT | JOHN BAILEY FINANCIAL | JKL INVESTMENT MANAGEMENT | JDR WEALTH MANAGEMENT | JACKSON WEALTH MANAGEMENT | INTEGRATED WEALTH STRATEGIES | INDEPENDENT FINANCIAL STRATEGIES | HOPPER FINANCIAL SERVICES | GENERATIONS FINANCIAL MANAGEMENT | FURNEY FINANCIAL | FRONT LINE ADVISOR GROUP | FOUNDATION WEALTH PARTNERS | FAUBOURG PRIVATE WEALTH | ENCORE WEALTH MANAGEMENT | DON HUBBARD INVESTMENT SERVICES | DAVID H. YOUNG & ASSOCIATES | DARGATZ & COMPANY | DANSBY WEALTH MANAGEMENT | DALLAS FINANCIAL PLANNER | CSB WEALTH MANAGEMENT | COUNCIL FAMILY OFFICE | COJO BAY ADVISORS | COJO BAY ADVIORS, LLC | CASTRINOS FINANCIAL | CARDINAL WEALTH ADVISORS | BIGG FINANCIAL | BENGE FINANCIAL GROUP | BARFIELD WEALTH MANAGEMENT | AZAELA WEALTH PARTNERS | ASHLEY HODGE | ARK CAPITAL | ARC RETIREMENT CONSULTANTS | ARC ASSET MANAGEMENT | AMPLIO WEALTH MANAGEMENT | AIQ ASSET MANAGEMENT | ADVISOR RESOURCE COUNCIL | ABACUS WEALTH BUILDERS | 360 WEALTH PLANNERS LLC | 360 WEALTH PARTNERS | 360 WEALTH MANAGEMENT, LLC
CRD#: 164109 / SEC#: 801-76667
RIA
Registered Investment Advisory firm - (6/1/2012 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
15110 Dallas Parkway Suite 500, Dallas, TX 75248
Mailing Address
Phone number
(972) 421-1360
Established
Firm type
Fiscal year end
# of Employees
123
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11,622 |
| AUM (Assets Under Management) | $ 3,015,318,532 |
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.
