Thomas K. Peltier

FNEX CAPITAL

McLean, VA 22102

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CRD#: 2388136

Professional summary

Thomas Kravitz Peltier, who also goes by Thomas Michael Kravitz, is a registered financial professional currently at FNEX CAPITAL, LLC located in Mclean, Virginia.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Michael Kravitz

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) - BD

Click below to view Thomas Kravitz Peltier'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®

None

Experience

Current

October 6, 2023 - Present

FNEX CAPITAL, LLC

Office #1: 1750 Tysons Boulevard Suite 1545, Mclean, VA 22102

CRD#: 166316

McLean, VA

Past

October 8, 2021 - April 1, 2022

ASHTON STEWART & CO., INC.

CRD#: 112386

MIAMI, FL

Past

May 31, 2018 - October 6, 2021

OUTCOME CAPITAL, LLC

CRD#: 100960

RESTON, VA

Past

December 1, 2005 - May 30, 2018

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

BALTIMORE, MD

Past

March 2, 1995 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Massachusetts
(10/6/2023)

Exams

State Security Law Exam

Series 63

Date: 1/14/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/1/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/30/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FNEX CAPITAL, LLC

APPLIED CAPITAL, LLC | FNEX CAPITAL, LLC

CRD#: 166316 / SEC#: , 8-69199

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One Indiana Square Suite 2252, Indianapolis, IN 46204

Mailing Address

One Indiana Square Suite 2252, Indianapolis, IN 46204

Phone number

(317) 580-2588

Established

Indiana since 06/04/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FNEX, LLC	MEMBER
HEGER, LOREN EUGENE	CEO, CCO, AMLCO, EXEC. REP.	6143753
TEUFEL, FREDERICK CHARLES	FINOP	2092408

Red Flags

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Thomas K. Peltier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Kravitz Peltier's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASHTON STEWART & CO., INC.

OUTCOME CAPITAL, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/14/2009

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/1/1995

Series 24

Date: 6/30/1999

FINRA

Current Firm

FNEX CAPITAL, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FNEX CAPITAL, LLC

TRUST BUT VERIFY

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