Thomas M. Ercolano

ALLSTATE FINANCIAL ADVISORS

Madison, NJ 07940-1826

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CRD#: 1492525

Professional summary

Thomas M Ercolano, who also goes by Thomas M Ercolano, Thomas Michael Ercolano, Thomas Ercolano, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Madison, New Jersey and ALLSTATE FINANCIAL SERVICES, LLC located in Madison, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas M Ercolano | Thomas Michael Ercolano | Thomas Ercolano

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 M Ercolano'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

October 20, 2020 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 15 Park Ave, Madison, NJ 07940-1826

RIA

CRD#: 109524

Madison, NJ

Current

October 15, 2020 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 15 Park Ave, Madison, NJ 07940-1826

CRD#: 18272

Madison, NJ

Past

May 25, 2016 - February 7, 2020

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Mendham, NJ

Past

May 20, 2016 - February 7, 2020

J.P. MORGAN SECURITIES LLC

CRD#: 79

Mendham, NJ

Past

December 17, 2013 - April 28, 2016

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

BERNARDSVILLE, NJ

Past

December 17, 2013 - April 28, 2016

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

BERNARDSVILLE, NJ

Past

October 17, 2011 - December 5, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ROCKAWAY, NJ

Past

September 9, 2011 - December 5, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ROCKAWAY, NJ

Past

January 25, 1996 - December 14, 2001

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Past

October 1, 1995 - December 21, 1995

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

April 16, 1990 - October 1, 1995

RELIASTAR FINANCIAL MARKETING CORP.

CRD#: 4234

SEATTLE, WA

Past

August 5, 1986 - July 20, 1989

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 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.

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

New Jersey
(10/15/2020)

IAR

New Jersey
(10/20/2020)

South Carolina
(8/4/2021)

Virginia
(9/17/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/14/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/8/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/4/1986

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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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Firm Stability Insights

Thomas M. Ercolano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas M Ercolano's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

C. J. M. PLANNING CORP.

VOYA FINANCIAL ADVISORS, INC.

RELIASTAR FINANCIAL MARKETING CORP.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/14/2011

SIE

Date: 10/1/2018

Series 7

Date: 9/8/2011

Series 6

Date: 8/4/1986

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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