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Thomas W. Savino
TUCKER ASSET MANAGEMENT LLC
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 2522213
TS
Professional summary
Thomas Walter Savino is a registered financial advisor currently at TUCKER ASSET MANAGEMENT LLC located in Newport Beach, California.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Thomas has worked at 11 firms and has passed the Series 63, Series 31 and Series 7 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.
MR. SAVINO ALSO SELLS INSURANCE PRODUCTS & FIXED PRODUCTS. AS PART OF FINANCIAL PLANNING SERVICES HE MAY ALSO INCLUDE MEDICARE AND ELDER CARE PLANNING DEPENDING ON CLIENT NEEDS. APPROX 85% OF TIME WILL BE SPENT USING THIS BUSINESS MODEL.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Walter Savino'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
April 15, 2016 - Present
TUCKER ASSET MANAGEMENT LLC
Office #1: 4101 Birch Street Suite 110, Newport Beach, CA 92660RIA
CRD#: 174844
Newport Beach, CA
Past
October 10, 2012 - October 26, 2017
COPPELL ADVISORY SOLUTIONS LLC
RIA
CRD#: 156549
NEWPORT BEACH, CA
Past
June 8, 2010 - September 19, 2012
AMERICAN INVESTMENT SERVICES
RIA
CRD#: 144088
NEWPORT BEACH, CA
Past
April 9, 2009 - August 7, 2009
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
IRVINE, CA
Past
August 4, 2008 - January 21, 2009
WESTMOORE SECURITIES, INC.
BD
CRD#: 44948
ANAHIEM, CA
Past
April 9, 2008 - August 5, 2008
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
IRVINE, CA
Past
March 27, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
February 16, 2001 - April 10, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
NEWPORT BEACH, CA
Past
June 24, 1999 - September 21, 2000
WEST BAY FINANCIAL GROUP INCORPORATED
BD
CRD#: 46052
SANTA ANA, CA
Past
May 19, 1997 - May 26, 1999
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
September 29, 1994 - May 16, 1997
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 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.Highlighted states indicate IAR registrations
IAR
California(4/15/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1520 West Canal Court Suite 100, Littleton, CO 80120
Mailing Address
Phone number
(303) 734-1234
Established
Firm type
Fiscal year end
# of Employees
80
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,243 |
| AUM (Assets Under Management) | $ 640,805,363 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
