TD
Thomas R. Delaney
KESTRA ADVISORY SERVICES
Austin, TX 78735
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CRD#: 2222130
TD
Professional summary
Thomas Richard Delaney II, who also goes by Thomas Richard Delaney II, Tom Delaney, Thomas Richard Delaney, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Austin, Texas and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, Series 82TO, Series 79TO, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 14, Series 27, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Richard Delaney Ii | Tom Delaney | Thomas Richard Delaney
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)DELANEY VENTURES LLC, SINGLE MEMBER 6705 ZERMATT CT. COLLEYVILLE, TEXAS 76034 817-766-7117 DELANEY VENTURES LLC'S PURPOSE IS TO PURCHASE RESIDENTIAL REAL ESTATE FOR INVESTMENT PURPOSES. THE SOURCE OF REVENUES WOULD BE A COMBINATION OF THE COLLECTION OF RENTAL INCOME AND/OR REALIZED GAINS FROM THE SALE OF THE PROPERTY. EXPENSES OF THE LLC, ASIDE FROM GENERAL AND ADMINISTRATIVE EXPENSES OF THE LLC, WOULD BE RELATED TO PROPERTY IMPROVEMENTS/REPAIRS OR REAL ESTATE COSTS ASSOCIATED WITH THE PURCHASE OF A PROPERTY. THE BUSINESS IS EXPECTED TO GENERATE LESS THAN 5% OF MY TOTAL INCOME AND WILL TAKE LESS THAN 5% OF MY TIME. FILE PERIODIC TAX DOCUMENTATION RELATED TO THE LLC, PURCHASE PROPERTIES, AND COLLECT RENTS. THERE IS NO COMPENSATION FOR PERFORMING AS A SINGLE MEMBER IN THE LLC. ALL PROFITS WILL BE DEPLOYED INTO THE LLC. MY IRA IS THE 100% OWNER OF THE LLC. THE PERCENTAGE OF ANNUAL INCOME WILL BE: 5% (2)Name of the other business: Boston University ; Whether the business is investment-related: No ; Address of the other business: One Silber Way Boston, MA 02215 ; Nature of the other business: Employment ; Your position, title, or relationship with the other business: Research Assistant, Facilitator ; The start date of your relationship: 1/27/2022 ; The approximate number of hours/month you devote to the other business: 21 to 40 ; The number of hours you devote to the other business during securities trading hours: None ; Briefly describe your duties relating to the other business: Provide research support to BU faculty and facilitate online courses (3) The name of the other business; Peter Elish Investments whether the business is investment-related; Yes the address of the other business; 5049 EDWARDS RANCH ROAD, STE 400, FORT WORTH, TX 76109 UNITED STATES the nature of the other business; broker-dealer your position; compliance consultant title, or relationship with the other business; consultant the start date of your relationship; 2/2023 the approximate number of hours/month you devote to the other business; 16-20 hrs. the number of hours you devote to the other business during securities trading hours; 0-1 and briefly describe your duties relating to the other business; Provide compliance consulting / guidance related to FINRA CMA application and the development of the overall compliance program. DELANEY VENTURES LLC POSITION: sole member NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2012 ADDRESS: 6705 Zermatt Ct., Colleyville TX 76034, United States DESCRIPTION: I collect rent and provide property management services as needed. PETER ELISH INVESTMENT SECURITIES POSITION: Consultant NATURE: Consulting INVESTMENT RELATED: Yes NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2023 ADDRESS: 5049 Edwards Ranch Road, Ste 400, Fort Worth TX 76109, United States DESCRIPTION: (1) Work with Leadership and provide advice related to pending FINRA CMA application; (2) Coordinate with outside compliance firm (Compliers) with respect to their services provided; (3) Assist leadership with the design of the compliance program going forward -- which will include the installation of the appropriate compliance resources.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Richard Delaney II'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
April 25, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735RIA
CRD#: 283330
Austin, TX
Current
April 24, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735BD
CRD#: 42046
Austin, TX
Past
December 15, 2015 - January 4, 2023
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
FORT WORTH, TX
Past
June 26, 2012 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
FT WORTH, TX
Past
May 18, 2011 - January 4, 2023
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
FORT WORTH, TX
Past
May 17, 2007 - May 3, 2011
PENSON FINANCIAL SERVICES, INC.
BD
CRD#: 25866
DALLAS, TX
Past
February 20, 2002 - May 1, 2007
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
FOLSOM, CA
Past
November 1, 2001 - February 19, 2002
WEB STREET SECURITIES, INC.
BD
CRD#: 37733
DEERFIELD, IL
Past
August 30, 1995 - February 19, 2002
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
March 21, 1994 - August 14, 1995
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
May 14, 1992 - July 27, 1992
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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
Texas(4/25/2023)
IAR
Texas(4/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 4/24/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 4/24/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/17/1995
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
