Thomas L. Douglas

VERGENCE INSTITUTIONAL PARTNERS LLC

Providence, RI

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CRD#: 2605963

Professional summary

Thomas Lawrence Douglas is a registered financial advisor currently at VERGENCE INSTITUTIONAL PARTNERS LLC located in Providence, Rhode Island.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Lawrence Douglas'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

August 6, 2019 - Present

VERGENCE INSTITUTIONAL PARTNERS LLC

RIA

CRD#: 301349

Providence, RI

Past

January 16, 2009 - June 11, 2017

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

BRAINTREE, MA

Past

January 1, 2001 - November 25, 2008

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

QUINCY, MA

Past

October 24, 2000 - November 25, 2008

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989

QUINCY, MA

Past

May 24, 2000 - October 11, 2000

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

September 9, 1998 - May 24, 2000

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

Past

June 19, 1995 - July 17, 1995

L.C. WEGARD & CO., INC.

CRD#: 3722

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

Kentucky
(6/13/2025)

IAR

Massachusetts
(8/6/2019)

IAR

Michigan
(3/17/2020)

IAR

Rhode Island
(12/2/2022)

IAR

Tennessee
(8/7/2019)

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: 2/21/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/1/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/8/1998

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 6/16/1995

General Securities Representative Examination

Current Firm

VERGENCE INSTITUTIONAL PARTNERS LLC

CRD#: 301349 / SEC#:

Kentucky

Registered Investment Advisory firm - (6/13/2025 Approved)

Massachusetts

Registered Investment Advisory firm - (8/6/2019 Approved)

Michigan

Registered Investment Advisory firm - (3/17/2020 Approved)

Rhode Island

Registered Investment Advisory firm - (5/4/2022 Approved)

Tennessee

Registered Investment Advisory firm - (8/7/2019 Approved)

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Contact information

Main Address

Little Compton, RI

Mailing Address

Phone number

(617) 588-2130

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas L. Douglas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Lawrence Douglas's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL PARTNERS, LLC

VOYA RETIREMENT ADVISORS, LLC

VOYA RETIREMENT ADVISORS, LLC

CITISTREET EQUITIES LLC

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

L.C. WEGARD & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/21/2019

Series 63

Date: 9/1/1998

SIE

Date: 6/11/2017

Series 6

Date: 9/8/1998

Series 7

Date: 6/16/1995

Current Firm

VERGENCE INSTITUTIONAL PARTNERS LLC

Contact information

Documents

Red Flags

Company Information

VERGENCE INSTITUTIONAL PARTNERS LLC

TRUST BUT VERIFY

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