TR
Thomas W. Rendl
WORLD EQUITY GROUP
Arlington Heights, IL 60004
Some features on this profile are disabled
CRD#: 1942734
TR
Professional summary
Thomas William Rendl JR, who also goes by Thomas William Rendl, is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Arlington Heights, Illinois.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas William Rendl
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. Penn Mutual Life Insurance; Not investment-related; 1600 Malone Street, Millville, NJ, 08332; Nature of OBA: Life Insurance; Posn/Title: Agent; Start Date: 01/02/24; Approx Hrs/Mth for the OBA: 2; Approx Hrs/Mth during trading hrs: 2; Duties towards the OBA: Provide life insurance quotes and policies for clients.;
CRS (Client Relationship Summary) - RIA
Click below to view Thomas William Rendl JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas William Rendl JR'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
July 29, 2004 - Present
WORLD EQUITY GROUP, INC.
Office #1: 1650 N. Arlington Heights Road, Ste 206, Arlington Heights, IL 60004RIA
BD
CRD#: 29087
Arlington Heights, IL
Current
May 24, 2001 - Present
WORLD EQUITY GROUP, INC.
Office #1: 1650 N. Arlington Heights Road, Ste 206, Arlington Heights, IL 60004RIA
BD
CRD#: 29087
Arlington Heights, IL
Past
April 21, 1998 - April 24, 2001
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
January 30, 1997 - April 24, 2001
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
December 18, 1996 - January 9, 1997
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
Past
July 18, 1994 - December 13, 1996
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
April 10, 1992 - January 20, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 18, 1989 - April 28, 1992
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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".
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
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
RR
Arizona(5/24/2001)
RR
California(11/11/2010)
RR
Florida(11/14/2002)
RR
Illinois(5/24/2001)
IAR
Illinois(7/29/2004)
RR
Utah(4/28/2022)
IAR
Utah(4/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173
Phone number
(847) 342-1700
Established
Illinois since 09/13/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
170
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
