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TC

Thomas C. Cleary

Some features on this profile are disabled
CRD#: 2221383
TC

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 Clark Cleary, who also goes by Thomas Clark Clark Cleary, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Clark Clark Cleary

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.
Fixed Insurance. Non-Investment Related. 1101 Wootton Parkway, Suite 980, Rockville, MD 20852. Insurance and Insurance Planning, Agent. Start 10/2019/ 5hrs/mo, 1hr during trading hours. Sales and Service.

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

July 27, 2022 - March 15, 2024

CIC WEALTH, LLC

RIA
CRD#: 290198
FAIRFAX STATION, VA
Past

October 16, 2019 - October 7, 2021

CIC WEALTH, LLC

RIA
CRD#: 290198
ROCKVILLE, MD
Past

October 11, 2019 - June 21, 2021

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Rockville, MD
Past

January 23, 2019 - September 17, 2019

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
MCLEAN, VA
Past

January 23, 2019 - September 17, 2019

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
MCLEAN, VA
Past

December 2, 2011 - February 1, 2019

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WASHINGTON, DC
Past

December 2, 2011 - February 1, 2019

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WASHINGTON, DC
Past

June 2, 2009 - December 12, 2011

MORGAN STANLEY

RIA
CRD#: 149777
BETHESDA, MD
Past

June 2, 2009 - December 12, 2011

MORGAN STANLEY

BD
CRD#: 149777
BETHESDA, MD
Past

May 29, 2009 - July 23, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
BETHESDA, MD
Past

May 29, 2009 - July 23, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
BETHESDA, MD
Past

July 30, 2002 - June 5, 2009

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
ROCKVILLE, MD
Past

February 26, 2002 - June 5, 2009

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ROCKVILLE, MD
Past

January 29, 1999 - February 27, 2002

HOWARD WEIL INCORPORATED

BD
CRD#: 30958
NEW ORLEANS, LA
Past

March 6, 1995 - February 2, 1999

CRESTAR SECURITIES CORPORATION

BD
CRD#: 17464
RICHMOND, VA
Past

June 8, 1992 - August 13, 1992

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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
IAR
Series 65
Date: 6/19/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/17/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 10/23/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/3/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/5/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CW
CIC WEALTH, LLC
ALCHEMY FINANCIAL, LLC | INTENTIONAL WEALTH PARTNERS | CIC WEALTH, LLC

CRD#: 290198 / SEC#: 801-111990

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Contact information

Main Address
1101 Wootton Parkway Suite 980, Rockville, MD 20852
Mailing Address
Phone number
(301) 816-4683
Established
Firm type
Fiscal year end
# of Employees
16

Documents

Latest Form ADV

Part 2 Brochures

Regulatory assets under management

Total Number of Accounts2,144
AUM (Assets Under Management)$ 658,821,740

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

CIC WEALTH, LLC

CRD#: 290198

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