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TZ

Thomas Zak

THE TAVENNER COMPANY
SPRINGFIELD, OH 45502
Some features on this profile are disabled
CRD#: 1439122
TZ

Professional summary

Thomas Zak is a registered financial professional currently at THE TAVENNER COMPANY located in Springfield, Ohio.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Thomas Zak'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

January 2, 2018 - Present

THE TAVENNER COMPANY

Office #1: 4910 Old Mechanicsburg Rd., Springfield, OH 45502
BD
CRD#: 18004
SPRINGFIELD, OH
Past

July 25, 2002 - December 31, 2017

W. H. COLSON SECURITIES, INC.

BD
CRD#: 117789
GREENVILLE, NC
Past

January 9, 2002 - July 23, 2002

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

January 3, 1997 - December 31, 2001

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA
Past

June 1, 1996 - December 31, 1996

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

February 20, 1991 - June 1, 1996

NORTH AMERICAN MANAGEMENT, INC.

BD
CRD#: 624
SIOUX FALLS, SD
Past

March 19, 1987 - February 24, 1990

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

November 26, 1985 - April 3, 1987

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(1/7/2021)
RR
Ohio
(1/2/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 1/8/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/25/1985
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TT
THE TAVENNER COMPANY
LITTLETON FINANCIAL SERVICES, INC. | WESTMINISTER FINANCIAL INVESTMENTS, INC. | THE TAVENNER COMPANY | LITTLETON SECURITIES COMPANY

CRD#: 18004 / SEC#: , 8-41206

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
4910 Old Mechanicsburg Rd., Springfield, OH 45502
Mailing Address
4910 Old Mechanicsburg Rd., Springfield, OH 45502
Phone number
(937) 399-8415
Established
Ohio since 01/27/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TAVENNER, THOMAS JAMESPRESIDENT4720439
TAVENNER, WILLIAM JAMES SRVICE PRESIDENT/ CHIEF COMPLIANCE OFFICER1508490

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

THE TAVENNER COMPANY

CRD#: 18004Springfield, OH 45502

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