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TP

Thomas J. Powers

CALIFORNIA FINANCIAL ADVISORS
SAN RAMON, CA 94583
Some features on this profile are disabled
CRD#: 1871442
TP

Professional summary

Thomas James Powers, CFP®, ChFC®, CLU® is a registered financial advisor currently at CALIFORNIA FINANCIAL ADVISORS located in San Ramon, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
1)INSURANCE SALES; SAN RAMON, CA; NON-INVESTMENT RELATED; OWNER; START DATE 01/01/1989; .001 HOURS PER MONTH; .001 HOURS DURING TRADING; OCCASIONAL TERM LIFE SALE 2)RENTAL PROPERTY OWNER; DUBLIN, CA; NON -INVESTMENT RELATED; START DATE 05/10/2011; 3 HOURS/MONTH; 0 HOURS DURING TRADING HOURS; COLLECT RENT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Powers'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®
CFP®

Certified Financial Planner

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

March 9, 1998 - Present

CALIFORNIA FINANCIAL ADVISORS

Office #1: 2303 Camino Ramon Suite 250, San Ramon, CA 94583
RIA
CRD#: 110152
SAN RAMON, CA
Past

August 13, 2014 - November 30, 2016

FOOTHILL SECURITIES, INC.

BD
CRD#: 1027
San Ramon, CA
Past

June 19, 1998 - August 7, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
SAN RAMON, CA
Past

November 3, 1989 - July 14, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

November 3, 1989 - July 14, 1998

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN

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".
CF
CALIFORNIA FINANCIAL ADVISORS
CALIFORNIA FINANCIAL ADVISORS | MALOON, POWERS, PITRE, HIGGINS & DENNEHY, LLC | MALOON, POWERS, PITRE & HIGGINS, LLC | MALOON POWERS & PITRE LLC

CRD#: 110152 / SEC#: 801-55273

RIA
Registered Investment Advisory firm - (2/18/1998 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.

Highlighted states indicate IAR registrations

IAR
California
(3/9/1998)
IAR
Texas
(10/27/2006)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/19/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/5/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/30/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/2/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/26/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/1/1998
General Securities Principal Examination

Current Firm

CF
CALIFORNIA FINANCIAL ADVISORS
CALIFORNIA FINANCIAL ADVISORS | MALOON, POWERS, PITRE, HIGGINS & DENNEHY, LLC | MALOON, POWERS, PITRE & HIGGINS, LLC | MALOON POWERS & PITRE LLC

CRD#: 110152 / SEC#: 801-55273

RIA
Registered Investment Advisory firm - (2/18/1998 Approved)
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Contact information

Main Address
12657 Alcosta Blvd Suite 470, San Ramon, CA 94583
Mailing Address
Phone number
(925) 275-1000
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (18 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CFA PART 2A -2024 (3/24/2025)

Regulatory assets under management

Total Number of Accounts3,335
AUM (Assets Under Management)$ 2,001,685,989

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

CALIFORNIA FINANCIAL ADVISORS

CRD#: 110152San Ramon, CA 94583

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