Thomas F. Alessi

EMPIRICAL ASSET MANAGEMENT

NEEDHAM, MA

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CRD#: 1423385

Professional summary

Thomas Frances Alessi, who also goes by Thomas F Alessi, Thomas Francis Alessi, is a registered financial advisor currently at EMPIRICAL ASSET MANAGEMENT, LLC located in Needham, Massachusetts.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Thomas has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas F Alessi | Thomas Francis Alessi

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) LICENSED INSURANCE AGENT; INDEPENDENT CAPACITY; SINCE 04/2019; APPROXIMATELY 10% OF TIME

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Frances Alessi'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

June 28, 2022 - Present

EMPIRICAL ASSET MANAGEMENT, LLC

RIA

CRD#: 155436

NEEDHAM, MA

Past

January 24, 2018 - August 11, 2022

PINNACLE PRIVATE WEALTH, LLC

RIA

CRD#: 170315

Needham, MA

Past

February 2, 2016 - May 2, 2016

APW CAPITAL, INC.

CRD#: 43814

ROCKAWAY, NJ

Past

July 4, 2013 - November 3, 2014

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

NEWTON, MA

Past

January 23, 2012 - May 15, 2013

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

NEWTON, MA

Past

September 8, 2011 - December 31, 2017

PLATINUM WEALTH PARTNERS

RIA

CRD#: 145507

TAMPA, FL

Past

June 5, 2009 - December 15, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEWTON, MA

Past

June 5, 2009 - December 15, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEWTON, MA

Past

February 16, 2007 - May 29, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BOSTON, MA

Past

October 20, 2004 - February 21, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

NEWTON, MA

Past

October 20, 2004 - February 21, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

NEWTON, MA

Past

September 6, 2002 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

NEWTON, MA

Past

September 1, 2000 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

November 1, 1994 - September 6, 2000

BANKBOSTON INVESTOR SERVICES, INC.

CRD#: 36369

BOSTON, MA

Past

June 14, 1994 - November 8, 1994

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

September 24, 1992 - November 8, 1993

CIBC WOOD GUNDY SECURITIES CORP.

CRD#: 3801

NEW YORK, NY

Past

May 11, 1987 - March 14, 1988

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

Past

July 28, 1986 - November 26, 1986

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Past

November 19, 1985 - May 21, 1986

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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".

EMPIRICAL ASSET MANAGEMENT, LLC

BOSTON PLATINUM MANAGEMENT | PENTA WEALTH MANAGEMENT, LLC | KEARSAGE INVESTMENT ADVISORS | EMPIRICAL ASSET MANAGEMENT, LLC

CRD#: 155436 / SEC#: 801-71967

RIA

Registered Investment Advisory firm - (11/23/2010 Approved)

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
(6/28/2022)

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: 8/22/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/16/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/23/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/13/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/27/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 3/12/1998

General Securities Principal Examination

Current Firm

EMPIRICAL ASSET MANAGEMENT, LLC

BOSTON PLATINUM MANAGEMENT | PENTA WEALTH MANAGEMENT, LLC | KEARSAGE INVESTMENT ADVISORS | EMPIRICAL ASSET MANAGEMENT, LLC

CRD#: 155436 / SEC#: 801-71967

RIA

Registered Investment Advisory firm - (11/23/2010 Approved)

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Contact information

Main Address

57 River Street Suite 301, Wellesley, MA 02481

Mailing Address

Phone number

(781) 431-2223

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EAM DISCLOSURE BROCHURE AND WRAP FEE PROGRAM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	988
AUM (Assets Under Management)	$ 467,001,856

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 F. Alessi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Frances Alessi's CRS (Customer Relationship Summary).

Certified licenses

Experience

PINNACLE PRIVATE WEALTH, LLC

APW CAPITAL, INC.

G.F. INVESTMENT SERVICES, LLC

LASALLE ST SECURITIES, L.L.C.

PLATINUM WEALTH PARTNERS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

BANKBOSTON INVESTOR SERVICES, INC.

SEI INVESTMENTS DISTRIBUTION CO.

CIBC WOOD GUNDY SECURITIES CORP.

FIDELITY BROKERAGE SERVICES LLC

FORESTERS FINANCIAL SERVICES, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

EMPIRICAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2009

Series 63

Date: 12/16/1992

SIE

Date: 5/2/2016

Series 7

Date: 9/23/1992

Series 10

Date: 12/13/2000

Series 9

Date: 11/27/2000

Series 24

Date: 3/12/1998

Current Firm

EMPIRICAL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMPIRICAL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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