TV
Tom Varghese
STRATEGIC ADVISERS LLC
OVIEDO, FL
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CRD#: 2462337
TV
Professional summary
Tom Varghese is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Oviedo, Florida and FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky.
Tom is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Tom has worked at 13 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Tom Varghese'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
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
OVIEDO, FL
Current
September 8, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Howe Drive, Covington, KY 41015BD
CRD#: 7784
Covington, KY
Past
October 21, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
OVIEDO, FL
Past
August 27, 2021 - March 30, 2022
CWM, LLC
RIA
CRD#: 155344
Orlando, FL
Past
March 20, 2020 - September 24, 2020
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ORLANDO, FL
Past
February 6, 2020 - March 17, 2020
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ORLANDO, FL
Past
February 5, 2020 - March 17, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ORLANDO, FL
Past
September 11, 2019 - October 28, 2019
EDWARD JONES
RIA
CRD#: 250
Oviedo, FL
Past
June 14, 2019 - October 28, 2019
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
October 30, 2008 - June 16, 2015
PERSHING LLC
BD
CRD#: 7560
LAKE MARY, FL
Past
March 24, 2000 - December 7, 2006
J.P. MORGAN CLEARING CORP.
BD
CRD#: 28432
BOSTON, MA
Past
March 24, 2000 - December 7, 2006
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BOSTON, MA
Past
July 6, 1998 - February 24, 2000
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
February 4, 1997 - July 9, 1997
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
NEW YORK, NY
Past
February 22, 1995 - May 13, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, 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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
Alabama(9/8/2022)
RR
Alaska(9/8/2022)
RR
Arizona(9/8/2022)
RR
Arkansas(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Connecticut(9/8/2022)
RR
Delaware(9/8/2022)
RR
District of Columbia(9/8/2022)
RR
Florida(9/8/2022)
IAR
Florida(3/31/2025)
RR
Georgia(9/8/2022)
RR
Hawaii(9/8/2022)
RR
Idaho(9/8/2022)
RR
Illinois(9/8/2022)
RR
Indiana(9/8/2022)
RR
Iowa(9/8/2022)
RR
Kansas(9/8/2022)
RR
Kentucky(9/8/2022)
RR
Louisiana(9/8/2022)
RR
Maine(9/8/2022)
RR
Maryland(9/8/2022)
RR
Massachusetts(9/8/2022)
RR
Michigan(9/8/2022)
RR
Minnesota(9/8/2022)
RR
Mississippi(9/8/2022)
RR
Missouri(9/8/2022)
RR
Montana(9/8/2022)
RR
Nebraska(9/8/2022)
RR
Nevada(9/8/2022)
RR
New Hampshire(9/8/2022)
RR
New Jersey(9/8/2022)
RR
New Mexico(9/8/2022)
RR
New York(9/8/2022)
RR
North Carolina(9/8/2022)
RR
North Dakota(9/8/2022)
RR
Ohio(9/8/2022)
RR
Oklahoma(9/8/2022)
RR
Oregon(9/8/2022)
RR
Pennsylvania(9/8/2022)
RR
Puerto Rico(9/8/2022)
RR
Rhode Island(9/8/2022)
RR
South Carolina(9/8/2022)
RR
South Dakota(9/8/2022)
RR
Tennessee(9/8/2022)
RR
Texas(9/8/2022)
IAR
Texas(3/31/2025)
RR
Utah(9/8/2022)
RR
Vermont(9/8/2022)
RR
Virgin Islands(9/8/2022)
RR
Virginia(9/8/2022)
RR
Washington(9/8/2022)
RR
West Virginia(9/8/2022)
RR
Wisconsin(9/8/2022)
RR
Wyoming(9/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/14/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/29/1997
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
