Tony J. Proctor

PROCTOR FINANCIAL

WELLESLEY, MA 02482

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CRD#: 2352599

Professional summary

Tony Joseph Proctor, CFP®, who also goes by Tony J Proctor, Tony Proctor, is a registered financial advisor currently at PROCTOR FINANCIAL located in Wellesley, Massachusetts.

Tony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Tony has worked at 3 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony J Proctor | Tony Proctor

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) - RIA

Click below to view Tony Joseph Proctor'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

Experience

Current

October 15, 2004 - Present

PROCTOR FINANCIAL

Office #1: 66 Central St, Wellesley, MA 02482

RIA

CRD#: 122021

WELLESLEY, MA

Past

August 26, 1994 - December 9, 2002

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

May 17, 1993 - August 30, 1994

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

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".

PROCTOR FINANCIAL

PROCTOR FINANCIAL | PROCTOR FINANCIAL, INC.

CRD#: 122021 / SEC#: 801-61596

RIA

Registered Investment Advisory firm - (11/13/2002 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

Massachusetts
(10/15/2004)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/21/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/27/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/14/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/26/1995

General Securities Principal Examination

Current Firm

PROCTOR FINANCIAL

PROCTOR FINANCIAL | PROCTOR FINANCIAL, INC.

CRD#: 122021 / SEC#: 801-61596

RIA

Registered Investment Advisory firm - (11/13/2002 Approved)

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Contact information

Main Address

18 N. Main Street, Sherborn, MA 01770

Mailing Address

Phone number

(781) 235-0405

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROCTOR BROCHURE PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	859
AUM (Assets Under Management)	$ 362,986,556

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.

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Advisor Monitoring

Firm Stability Insights

Tony J. Proctor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tony Joseph Proctor's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PROCTOR FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 5/21/1993

Series 7

Date: 10/27/1994

Series 6

Date: 5/14/1993

Series 24

Date: 1/26/1995

Current Firm

PROCTOR FINANCIAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROCTOR FINANCIAL

TRUST BUT VERIFY

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