Thomas J. Calcagnini

CALCAGNINI WEALTH MANAGEMENT

Beverly Hills, CA

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CRD#: 2601400

Professional summary

Thomas Joseph Calcagnini, who also goes by Tom Calcagnini, is a registered financial advisor currently at CALCAGNINI WEALTH MANAGEMENT, LLC located in Beverly Hills, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Thomas has worked at 11 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Calcagnini

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. LICENSED CA INSURANCE AGENT; 454 NORTH OAKHURST DR., APT 404, BEVERLY HILLS, CA 90210; START DATE 11/05/2010; 1 HOUR - SALES OF LIFE INSURANCE, LTC AND FIXED ANNUITIES. 2. Eastward Capital Partners LLC; Investment Related; 11/2010 to Present; 432 Cherry Street, West Newton, MA 02465; Venture Debt Fund; Mr. Calcagnini serves as a consultant and independent contractor and in such role assists ECP with capital calls, distributions and investor disclosures; Approximately 5 hours per month all during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Calcagnini'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®

None

Experience

Current

April 6, 2018 - Present

CALCAGNINI WEALTH MANAGEMENT, LLC

RIA

CRD#: 293164

Beverly Hills, CA

Past

November 8, 2010 - September 30, 2013

WBB SECURITIES, LLC

RIA

CRD#: 118440

LOS ANGELES, CA

Past

November 8, 2010 - September 30, 2013

WBB SECURITIES, LLC

CRD#: 118440

LOS ANGELES, CA

Past

November 5, 2010 - May 30, 2018

VICTUS CAPITAL WEALTH

RIA

CRD#: 154899

LOS ANGELES, CA

Past

October 14, 2005 - November 8, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BEVERLY HILLS, CA

Past

October 14, 2005 - November 8, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BEVERLY HILLS, CA

Past

March 18, 2003 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SANTA MONICA, CA

Past

November 19, 2002 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 2, 2001 - October 11, 2002

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

November 4, 1999 - April 4, 2001

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

November 18, 1997 - September 20, 1999

DABNEY FLANIGAN, LLC

CRD#: 43245

LOS ANGELES, CA

Past

November 29, 1996 - August 27, 1997

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

May 28, 1996 - October 25, 1996

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEWPORT BEACH, CA

Past

May 31, 1995 - January 5, 1996

FIRST MANHATTAN SECURITIES LLC

CRD#: 1845

NEW YORK, NY

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
(4/6/2018)

IAR

Connecticut
(5/17/2019)

IAR

Texas
(10/23/2018)

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

IAR

Series 65

Date: 12/19/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/6/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 11/23/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/22/1995

General Securities Representative Examination

Current Firm

CALCAGNINI WEALTH MANAGEMENT, LLC

CRD#: 293164 / SEC#: 801-112798

RIA

Registered Investment Advisory firm - (11/14/2018 Terminated)

California

Registered Investment Advisory firm - (10/24/2018 Approved)

Connecticut

Registered Investment Advisory firm - (5/17/2019 Approved)

Texas

Registered Investment Advisory firm - (10/23/2018 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Beverly Hills, CA

Mailing Address

P.o. Box 69367, West Hollywood, CA 90048

Phone number

(310) 622-1287

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	141
AUM (Assets Under Management)	$ 47,163,701

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

Thomas J. Calcagnini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Calcagnini's CRS (Customer Relationship Summary).

Certified licenses

Experience

WBB SECURITIES, LLC

WBB SECURITIES, LLC

VICTUS CAPITAL WEALTH

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

ADVEST, INC.

WELLS FARGO SECURITIES, LLC

DABNEY FLANIGAN, LLC

GRUNTAL & CO., L.L.C.

ROTH CAPITAL PARTNERS, LLC

FIRST MANHATTAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2002

Series 63

Date: 7/6/1995

Series 31

Date: 11/23/2002

Series 7

Date: 5/22/1995

Current Firm

CALCAGNINI WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CALCAGNINI WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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