TF
Thomas E. Fay
VALMARK ADVISERS
Glenview, IL 60026
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CRD#: 2277450
TF
Professional summary
Thomas Edward Fay, ChFC®, CLU®, who also goes by Tom Fay, is a registered financial advisor currently at VALMARK ADVISERS, INC. located in Glenview, Illinois and VALMARK SECURITIES, INC. located in Glenview, Illinois.
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 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Fay
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) TFI BENEFITS, INC; 711 SPRUCE STREET, GLENVIEW IL 60025; INSURANCE SERVICES; PRESIDENT; START DATE: 05/2003; INSURANCE PRODUCER IDENTIFYING NEW BUSINESS AND INDIVIDUAL CLIENT RELATIONSHIPS, MAINTAINING AND ENHANCING EXISTING CLIENT RELATIONSHIPS, AND CONSISTENTLY GROWING MY PRACTICE ON A YEAR OVER YEAR BASIS; NUMBER OF HOURS PER MONTH: 40; NUMBER OF HRS/WEEK DURING TRADING HOURS: 10/// 2) HUNKEN FINANCIAL GROUP, 2550 COMPASS RD., SUITE H, GLENVIEW, IL 60026; FIXED INSURANCE BUSINESS; NOT INVESTMENT RELATED; INDEPENDENT AGENT; 5 HRS PER MONTH; MASSMUTUAL AND GUARDIAN LIFE INSURANCE PRODUCTS FOR POTENTIAL POLICY HOLDERS WHERE FAY ACTS AS SOLICITING AGENT FOR PROPOSED INSUREDS, FIXED LIFE, DIABILITY, LONG TERM CARE AND ANNUITY PRODUCTS WILL BE CONSIDERED, INDEPENDENT AGENT WHO WILL SEEK WHOLE LIFE INSURANCE SOLUTIONS FOR POTENTIAL CLIENTS; HUNKEN FINANCIAL GROUP, SCOTT AND CHRIS HUNKEN ARE GENERAL AGENTS FOR GUARDIAN LIFE INS CO ALSO HAVE MASS MUTUAL BROKERAGE CONTRACT THROUGH AGENCY IN NY; COMPENSATION WILL BE PAID TO STONEPOINT FINANCIAL GRP OR THOMAS FAY ON 1099 BASIS, COMMISSIONS FOR POLICY REPLACEMENTS. /// 3) MUSICAL BAND MEMBER; NON INVESTMENT RELATED; NO CLIENT INVOLVEMENT; NO HOURS DURING TRADING HOURS./// 4) LaSalle Benefits, 40 Skokie Blvd, Ste 240 Northbrook, IL 60062; Group Heath Insurance; not investment related; Client involvement; Meet with clients annual to renew policies along side a rep from LaSalle Benefits, Telephone calls with clients to maintain relationships, Email presentations prepared by LaSalle Benefits; 1-5 hours per month; Compensation is split between Stone Point and LaSalle Benefits for clients referred./// 5) Long Road Risk Management Services, LLC; Akron, OH; Managing Director; Insurance Sales; 20-40 hours/ month; investment related./// 6) Midland National, 8300 Mills Civic Parkway, W. Des Moines, IA 50266; Life Insurance Broker; NOT Investment Related; Start Date 2/1/2022; Approximately 1-5 hrs. per month; Paid commissions from cases./// 7) Ringler Associates Incorporated; Aliso Viejo, CA; settlements consultant; Referral Partner to Ringler; not investment related; start 9/2022; compensation is One time commission when referral results in placed business./// 8) TFI Planning Group, LLC; 2222 Chestnut Ave, Suite 305, Glenview, IL 60026; Sole Member; Advise and conduct ongoing performance reviews and monitoring of clients portfolios; YES Investment Related; Start Date 6/10/2019; I am the sole owner of this entity 100%. This was set up for tax purposes following the change in the law for Qualified Business Income; Approximately 40+ hrs. per month; Compensation is paid to me by Valmark Securities Inc, and included in my annual form 1099.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Edward Fay'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®
Experience
Current
November 10, 2015 - Present
VALMARK ADVISERS, INC.
Office #1: 2222 Chestnut Ave Suite 305, Glenview, IL 60026RIA
CRD#: 108050
Glenview, IL
Current
November 9, 2015 - Present
VALMARK SECURITIES, INC.
Office #1: 2222 Chestnut Ave Suite 305, Glenview, IL 60026BD
CRD#: 31243
Glenview, IL
Past
May 22, 2003 - November 24, 2015
USI SECURITIES, INC.
RIA
CRD#: 43793
CHICAGO, IL
Past
May 22, 2003 - November 24, 2015
USI SECURITIES, INC.
BD
CRD#: 43793
CHICAGO, IL
Past
May 25, 2001 - May 22, 2003
EQUITY SERVICES, INC.
RIA
CRD#: 265
HIGHWOOD, IL
Past
January 18, 1999 - May 22, 2003
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
April 23, 1998 - January 15, 1999
LIFEMARK SECURITIES CORP.
BD
CRD#: 16204
ROCHESTER, NY
Past
September 25, 1992 - April 29, 1998
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
VA
VALMARK ADVISERS, INC.
VALMARK ADVISERS INC | VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
RIA
Registered Investment Advisory firm - (5/29/1998 Approved)Wyoming
Registered Investment Advisory firm - (8/11/2017 Terminated)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
California(7/21/2025)
RR
Colorado(11/9/2015)
RR
Connecticut(11/23/2015)
IAR
District of Columbia(1/15/2016)
RR
Florida(11/9/2015)
RR
Georgia(3/31/2025)
RR
Illinois(11/9/2015)
IAR
Illinois(11/10/2015)
RR
Indiana(11/24/2015)
RR
Kansas(11/9/2015)
RR
Massachusetts(3/31/2025)
RR
Michigan(11/9/2015)
RR
Minnesota(3/31/2025)
RR
Nevada(11/13/2015)
RR
New York(11/9/2015)
RR
North Carolina(5/14/2025)
RR
Ohio(9/22/2021)
RR
Pennsylvania(3/6/2019)
RR
Texas(11/9/2015)
RR
Utah(8/12/2020)
RR
Virginia(11/9/2015)
IAR
Virginia(11/10/2015)
RR
Wisconsin(11/9/2015)
IAR
Wisconsin(5/24/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VALMARK ADVISERS, INC.
VALMARK ADVISERS INC | VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
RIA
Registered Investment Advisory firm - (5/29/1998 Approved)Wyoming
Registered Investment Advisory firm - (8/11/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
130 Springside Drive Suite 300, Akron, OH 44333
Mailing Address
Phone number
(800) 765-5201
Established
Firm type
Fiscal year end
# of Employees
275
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,096 |
| AUM (Assets Under Management) | $ 8,379,181,235 |
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.
