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TF

Thomas V. Fenn

T. FENN FINANCIAL PLANNING
CHAPEL HLL, NC
Some features on this profile are disabled
CRD#: 1430056
TF

Professional summary

Thomas Vincent Fenn, CFP® is a registered financial advisor currently at T. FENN FINANCIAL PLANNING, LLC located in Chapel Hll, North Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Thomas has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 9 and Series 10 exams.

top-8-questions

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 Vincent Fenn'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®
CFP®

Certified Financial Planner

Experience

Current

November 2, 2010 - Present

T. FENN FINANCIAL PLANNING, LLC

RIA
CRD#: 155410
CHAPEL HLL, NC
Past

October 10, 2000 - May 16, 2006

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

April 3, 1998 - October 10, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

January 14, 1992 - April 27, 1998

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 23, 1986 - March 14, 1990

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

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
North Carolina
(11/2/2010)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/4/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/26/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/14/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/30/2002
General Securities Sales Supervisor - General Module Examination

Current Firm

TF
T. FENN FINANCIAL PLANNING, LLC
T. FENN FINANCIAL PLANNING | T. FENN FINANCIAL PLANNING, LLC | T. FENN FINANCIAL PLANNING LLC

CRD#: 155410 / SEC#:

North Carolina
Registered Investment Advisory firm - (11/2/2010 Approved)
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Contact information

Main Address
Chapel Hill, NC
Mailing Address
Phone number
(919) 929-7959
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

T. FENN FINANCIAL PLANNING, LLC

CRD#: 155410Chapel Hll, NC

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