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Thomas Jefferson Faulconer IV

Thomas J. Faulconer

ARCHER INVESTMENT
Indianapolis, IN
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CRD#: 2328631
Thomas Jefferson Faulconer IV

Professional summary

Thomas Jefferson Faulconer IV, CFP®, ChFC®, CLU®, who also goes by Thomas Jefferson Faulconer, is a registered financial advisor currently at ARCHER INVESTMENT CORPORATION located in Indianapolis, Indiana.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Thomas has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas Jefferson Faulconer

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)VOLDICO AGENT FUNDING. DATE IN 02/2016. SHARE HOLDER. SECRETARY. ATTORNEY. ADVISORY/LEGAL SERVICES. 420 S. BUCKEYE ST, OSGOOD,IN. 2 TOTAL HRS/MONTH. 2HRS DURING SECURITIES TRADING HRS. 2)Attorney and Consultant-Preparation of Estate Planning and Business documents-HR consulting-100% owner-10-15 hrs/mo-not investment related 3)Voldico Insurance LLC-Advisory Board Member-1-2 hrs/Mo-Participate in board meetings 4)Transitions Financial LLC-100% owner-Investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Jefferson Faulconer IV's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 1998

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

November 28, 2019 - Present

ARCHER INVESTMENT CORPORATION

RIA
CRD#: 136403
Indianapolis, IN
Past

February 11, 2018 - December 9, 2019

CREATIVE FINANCIAL DESIGNS, INC.

RIA
CRD#: 109032
Indianapolis, IN
Past

February 11, 2018 - December 9, 2019

CFD INVESTMENTS, INC.

BD
CRD#: 25427
Indianapolis, IN
Past

July 28, 2017 - December 31, 2017

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
INDIANAPOLIS, IN
Past

April 13, 2017 - December 31, 2017

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
INDIANAPOLIS, IN
Past

April 9, 2013 - December 8, 2014

FAMILY FINANCIAL ADVISORS, LLC

RIA
CRD#: 167224
INDIANAPOLIS, IN
Past

December 24, 1998 - February 11, 2013

FBL MARKETING SERVICES, LLC

BD
CRD#: 5309
INDIANAPOLIS, IN
Past

May 22, 1993 - September 27, 1993

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".
AI
ARCHER INVESTMENT CORPORATION
ACCUPRO FINANCIAL SERVICES | WALKER WEALTH MANAGEMENT | TRANSITIONS FINANCIAL INDIANA | SULLIVAN WEALTH MANAGEMENT | PATTON & ASSOCIATES, LLC | NEWTON WEALTH MANAGEMENT | LAKE WEALTH MANAGEMENT | ARCHER INVESTMENT CORPORATION

CRD#: 136403 / SEC#: 801-64607

RIA
Registered Investment Advisory firm - (8/12/2005 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.

Highlighted states indicate IAR registrations

IAR
Indiana
(11/28/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/6/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/21/1998
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 7
Date: 4/13/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/21/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/5/1999
Investment Company Products/Variable Contracts Principal Examination

Current Firm

AI
ARCHER INVESTMENT CORPORATION
ACCUPRO FINANCIAL SERVICES | WALKER WEALTH MANAGEMENT | TRANSITIONS FINANCIAL INDIANA | SULLIVAN WEALTH MANAGEMENT | PATTON & ASSOCIATES, LLC | NEWTON WEALTH MANAGEMENT | LAKE WEALTH MANAGEMENT | ARCHER INVESTMENT CORPORATION

CRD#: 136403 / SEC#: 801-64607

RIA
Registered Investment Advisory firm - (8/12/2005 Approved)
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Contact information

Main Address
11711 N. College Ave Suite 200, Carmel, IN 46032
Mailing Address
Phone number
(317) 581-5664
Established
Firm type
Fiscal year end
# of Employees
82

SEC notice filing (40 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ARCHER PART 2A BROCHURE (11/18/2025)

Regulatory assets under management

Total Number of Accounts5,640
AUM (Assets Under Management)$ 900,511,000

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

ARCHER INVESTMENT CORPORATION

CRD#: 136403Indianapolis, IN

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