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Thomas A. Waisnor

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CRD#: 2163454
TW

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 Andrew Waisnor, who also goes by Tom Andrew Waisnor, Tom Waisnor, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Andrew Waisnor | Tom Waisnor

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

October 27, 2017 - November 29, 2018

SMARTLEAF ASSET MANAGEMENT LLC

RIA
CRD#: 172273
BOSTON, MA
Past

January 27, 2012 - June 20, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
MANCHESTER, NH
Past

January 26, 2012 - January 26, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
MANCHESTER, NH
Past

January 26, 2012 - June 20, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MANCHESTER, NH
Past

January 24, 2011 - November 23, 2011

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
BOSTON, MA
Past

January 19, 2011 - July 11, 2011

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

September 8, 2009 - June 25, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
WOBURN, MA
Past

August 17, 2009 - June 25, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
WOBURN, MA
Past

April 21, 2009 - June 4, 2009

SENTINEL SECURITIES, LLC.

BD
CRD#: 110942
WAKEFIELD, MA
Past

May 11, 2008 - June 4, 2009

SENTINEL PENSION ADVISORS, LLC.

RIA
CRD#: 109901
READING, MA
Past

January 26, 2007 - May 14, 2008

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

July 26, 2006 - January 16, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
MILWAUKEE, WI
Past

January 15, 2002 - January 16, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

January 3, 1996 - October 11, 2000

UAM FUND DISTRIBUTORS, INC.

BD
CRD#: 24364
BOSTON, MA
Past

August 29, 1991 - November 30, 1995

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI

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".
SA
SMARTLEAF ASSET MANAGEMENT LLC
SMARTLEAF ASSET MANAGEMENT LLC

CRD#: 172273 / SEC#: 801-80910

RIA
Registered Investment Advisory firm - (2/17/2015 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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/21/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/27/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/20/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/28/1991
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SA
SMARTLEAF ASSET MANAGEMENT LLC
SMARTLEAF ASSET MANAGEMENT LLC

CRD#: 172273 / SEC#: 801-80910

RIA
Registered Investment Advisory firm - (2/17/2015 Approved)
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Contact information

Main Address
One Bowdoin Square Suite 1000 10th Floor, Boston, MA, 02114
Mailing Address
Phone number
(857) 366-9340
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (3 States and Territories)

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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts12,408
AUM (Assets Under Management)$ 3,675,213,152

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

SMARTLEAF ASSET MANAGEMENT LLC

CRD#: 172273

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