Thomas P. Dooley
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 P. Dooley, who also goes by Thomas P Dooley, Thomas Patrick Dooley Jr, Thomas Patrick Dooley, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2025 - January 29, 2026
STRATEGIC ADVISERS LLC
January 18, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 30, 2021 - January 29, 2026
FIDELITY BROKERAGE SERVICES LLC
October 14, 2020 - October 22, 2021
THE LEADERS GROUP, INC.
June 29, 2015 - November 15, 2018
LPL FINANCIAL LLC
June 26, 2015 - November 15, 2018
LPL FINANCIAL LLC
November 17, 2011 - July 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 2011 - July 6, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2011 - September 27, 2011
LPL FINANCIAL LLC
August 5, 2011 - October 14, 2011
LPL FINANCIAL LLC
October 20, 2009 - March 25, 2011
CHASE INVESTMENT SERVICES CORP.
September 24, 2009 - March 25, 2011
CHASE INVESTMENT SERVICES CORP.
May 15, 2002 - May 5, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 5, 2002 - May 5, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 2, 2001 - March 15, 2002
QUICK & REILLY, INC.
October 1, 2000 - May 2, 2001
WELLS FARGO CLEARING SERVICES, LLC
September 16, 1997 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
May 3, 1993 - August 20, 1997
CITICORP INVESTMENT SERVICES
July 16, 1991 - March 16, 1993
IDS LIFE INSURANCE COMPANY
July 16, 1991 - March 16, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
December 4, 1989 - March 12, 1990
IDS LIFE INSURANCE COMPANY
December 4, 1989 - March 12, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
March 6, 1989 - April 8, 1989
J. W. GANT & ASSOCIATES, INC.
July 19, 1988 - March 10, 1989
INVESTORS CENTER, INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
