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Thomas W. Vogelheim
FIDUCIARY FINANCIAL GROUP
San Rafael, CA 94901
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CRD#: 1855108
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Professional summary
Thomas Whitney Vogelheim, who also goes by Tom Vogelheim, is a registered financial advisor currently at FIDUCIARY FINANCIAL GROUP, LLC located in San Rafael, California.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Thomas has worked at 3 firms and has passed the Series 2 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Vogelheim
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.
FFG Law, A Professional Corporation; not investment related; sole Shareholder; Law Firm; start date 01/2021; San Rafael, CA; approximately 15% of his time is spent in this activity Cooper & Vogelheim, LLP (previously Nelson, Vogelheim & Phillips, LLC); not investment related; Owner and Partner; CPA firm; start date 01/2000; San Rafael, CA; approximately 35% of his time is spent in this activity. EFS Associates; inv rel; Principal/IAR; start 01/1992; San Rafael, CA; approx 5% of time.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Whitney Vogelheim'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®
NoneExperience
Current
August 27, 2020 - Present
FIDUCIARY FINANCIAL GROUP, LLC
Office #1: 1101 Fifth Avenue Suite 305, San Rafael, CA 94901RIA
CRD#: 285681
San Rafael, CA
Past
January 18, 2018 - January 5, 2024
EFS ASSOCIATES
RIA
CRD#: 127643
San Rafael, CA
Past
May 2, 1996 - April 14, 2009
EFS ASSOCIATES
RIA
CRD#: 127643
SAN FRANCISCO, CA
Past
July 20, 1988 - September 21, 1988
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
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".
FF
FIDUCIARY FINANCIAL GROUP, LLC
ADVISOR'S FIDUCIARY GROUP, LLC | FIDUCIARY FINANCIAL GROUP, LLC | FIDUCIARY FINANCIAL GROUP
CRD#: 285681 / SEC#: 801-121655
RIA
Registered Investment Advisory firm - (7/1/2021 Approved)California
Registered Investment Advisory firm - (8/14/2021 Terminated)Georgia
Registered Investment Advisory firm - (7/14/2021 Terminated)Idaho
Registered Investment Advisory firm - (7/16/2021 Terminated)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
California(8/27/2020)
IAR
Texas(6/27/2022)
Exams
General Industry/Product Exam
RR
Series 2
Date: 4/30/1996
Non-Member General Securities ExaminationGeneral Industry/Product Exam
Current Firm
FF
FIDUCIARY FINANCIAL GROUP, LLC
ADVISOR'S FIDUCIARY GROUP, LLC | FIDUCIARY FINANCIAL GROUP, LLC | FIDUCIARY FINANCIAL GROUP
CRD#: 285681 / SEC#: 801-121655
RIA
Registered Investment Advisory firm - (7/1/2021 Approved)California
Registered Investment Advisory firm - (8/14/2021 Terminated)Georgia
Registered Investment Advisory firm - (7/14/2021 Terminated)Idaho
Registered Investment Advisory firm - (7/16/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1101 Fifth Avenue Suite 305, San Rafael, CA 94901
Mailing Address
2601 N Bogus Basin Rd., Boise, ID 83702
Phone number
(415) 352-1100
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 381 |
| AUM (Assets Under Management) | $ 865,195,789 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FIDUCIARY FINANCIAL GROUP, LLC
CRD#: 285681San Rafael, CA 94901TRUST BUT VERIFY
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