Thomas J. Cardillo

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CRD#: 1693792

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 Cardillo, who also goes by Thomas J Cardillo, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas J Cardillo

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)

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®

None

Experience

Past

November 27, 2000 - October 11, 2021

NORTHEAST ADVISERS, INC.

RIA

CRD#: 108835

Wilkes-Barre, PA

Past

August 5, 1998 - November 2, 2000

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

June 26, 1996 - August 5, 1998

CONSECO FINANCIAL SERVICES, INC.

CRD#: 629

CARMEL, IN

Past

April 29, 1994 - June 28, 1996

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

September 24, 1993 - May 5, 1994

AMA INVESTMENT ADVISERS, INC.

CRD#: 678

CHICAGO, IL

Past

January 11, 1993 - September 11, 1993

ROYAL MACCABEES SECURITIES COMPANY

CRD#: 6704

SOUTHFIELD, MI

Past

July 1, 1987 - January 20, 1993

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

July 1, 1987 - January 20, 1993

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

NORTHEAST ADVISERS, INC.

JK FINANCIAL ADVISORY SERVICES | ZINN ADVISERS | PRO-CAP, LLC | NORTHEAST ADVISERS, INC. | NORTHEAST ADVISERS INC

CRD#: 108835 / SEC#: 801-57720

RIA

Registered Investment Advisory firm - (7/5/2000 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.

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: 3/23/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/30/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/22/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/30/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NORTHEAST ADVISERS, INC.

JK FINANCIAL ADVISORY SERVICES | ZINN ADVISERS | PRO-CAP, LLC | NORTHEAST ADVISERS, INC. | NORTHEAST ADVISERS INC

CRD#: 108835 / SEC#: 801-57720

RIA

Registered Investment Advisory firm - (7/5/2000 Approved)

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Contact information

Main Address

163 W. Lancaster Ave, Paoli, PA 19301

Mailing Address

Phone number

(610) 240-7955

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NAI ADV PART 2 MARCH 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	364
AUM (Assets Under Management)	$ 576,435,239

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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Advisor Monitoring

Firm Stability Insights

Thomas J. Cardillo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONSECO SECURITIES, INC.

CONSECO FINANCIAL SERVICES, INC.

FSC SECURITIES CORPORATION

AMA INVESTMENT ADVISERS, INC.

ROYAL MACCABEES SECURITIES COMPANY

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

NORTHEAST ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/23/1993

Series 63

Date: 6/30/1987

Series 7

Date: 2/22/1994

Series 6

Date: 6/30/1987

Current Firm

NORTHEAST ADVISERS, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHEAST ADVISERS, INC.

TRUST BUT VERIFY

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