TF
Thomas M. Fischer
NOVA FINANCIAL SERVICES
Scottsdale, AZ 85260
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CRD#: 2613534
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Professional summary
Thomas Michael Fischer, who also goes by Thomas M. Fischer, Thomas Fischer, Tom Michael Fischer, Tom Fischer, is a registered financial advisor currently at NOVA FINANCIAL SERVICES located in Scottsdale, Arizona.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas M. Fischer | Thomas Fischer | Tom Michael Fischer | Tom Fischer
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.THOMAS M FISCHER INSURANCE AGENT, SOLE PROPRIETOR, START: 12/2010, 3075 W. RAY ROAD, STE. 501 CHANDLER, AZ 852226, LIFE,FIXED AND HEALTH, NOT INVESTMENT RELATED, 80 HOURS PER MONTH, <2 HOURS PER DAY DURING TRADING HOURS.
2. DUNE FISCHER INC, DBA AHMIZE INC., CORPORATION, START: 11/2014, 738 S PERRY LANE, #6, TEMPE, AZ 85281, RETAIL, NOT INVESTMENT RELATED, WIFE IS OWNER OF RETAIL BUSINESS SELLING PROMOTIONAL ITEMS, ADVERTISING SPECIALTIES SALES, 0 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS.
3. NOVA FINANCIAL, LLC, DBA ARIZONA FINANCIAL PLAN, START: 09/2014, 3075 W. RAY ROAD STE. 501 CHANDLER, AZ 85226, RIA, INVESTMENT ADVISOR/OWNER, INVESTMENT RELATED, 150 HOURS PER MONTH, 8 HOURS PER DAY DURING TRADING HOURS.
4. NOVA FINANCIAL & INSURANCE SERVICES, LLC, START: 12/22/2010, 3075 W. RAY ROAD STE.501 CHANDLER, AZ 85226, INSURANCE AGENCY/AGENT, NOT INVESTMENT RELATED, 5 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS.
5. SMOOTH SAND GROUP, LLC, START: 08/25/15, 2722 N. STAPLEY DRIVE MESA, AZ 85203, ADMINISTRATIVE OPERATIONS FOR TAX REPORTING PURPOSES, MEMBER, NOT INVESTMENT RELATED, 1 HOUR PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS.
6. VACATION RENTAL PROPERTY, 09/15/2017, 8208 S. WASATCH GROVE LANE, COTTONWOOD HEIGHTS, UTAH 84121, VACATION HOME, HOME OWNER, RENT OUT OUR VACATION HOME WHEN NOT USING IT, NOT INVESTMENT RELATED, 1 HOUR PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS.
7. SMOOTH SAND GROUP, LLC, START DATE: 11/14/2017, 2722 N. STAPLEY DR, MESA, AZ 85203, TOM@INVESTWITHNOVA.COM, LLC FILES AS AN S CORP, INSURANCE AGENCY,OWNER, LIFE INSURANCE AND HEALTH INSURANCE, 3 HOURS PER MONTH, 1 HOUR PER DAY DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Michael Fischer'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
January 3, 2011 - Present
NOVA FINANCIAL SERVICES
Office #1: 8800 E. Raintree Drive Ste. 110, Scottsdale, AZ 85260RIA
CRD#: 150148
Scottsdale, AZ
Past
November 30, 2010 - May 1, 2018
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
CHANDLER, AZ
Past
January 19, 2010 - December 7, 2010
OSAIC FA, INC.
RIA
CRD#: 3978
SCOTTSDALE, AZ
Past
October 14, 2009 - December 7, 2010
OSAIC FA, INC.
BD
CRD#: 3978
SCOTTSDALE, AZ
Past
August 26, 1995 - October 26, 2009
NYLIFE SECURITIES LLC
BD
CRD#: 5167
MESA, AZ
Past
May 10, 1995 - July 17, 1995
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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".
NF
NOVA FINANCIAL SERVICES
ARIZONA FINANCIAL PLAN | TACTICAL PLANNING GROUP | QUANTUM WEALTH STRATEGIES | NOVA FINANCIAL SERVICES | NOVA FINANCIAL LLC | NOVA FINANCIAL & INSURANCE SERVICES
CRD#: 150148 / SEC#: 801-79612
RIA
Registered Investment Advisory firm - (4/25/2014 Approved)Arizona
Registered Investment Advisory firm - (4/28/2014 Terminated)California
Registered Investment Advisory firm - (5/28/2014 Terminated)Illinois
Registered Investment Advisory firm - (4/28/2014 Terminated)Texas
Registered Investment Advisory firm - (4/28/2014 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
Arizona(1/3/2011)
IAR
California(6/27/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
NF
NOVA FINANCIAL SERVICES
ARIZONA FINANCIAL PLAN | TACTICAL PLANNING GROUP | QUANTUM WEALTH STRATEGIES | NOVA FINANCIAL SERVICES | NOVA FINANCIAL LLC | NOVA FINANCIAL & INSURANCE SERVICES
CRD#: 150148 / SEC#: 801-79612
RIA
Registered Investment Advisory firm - (4/25/2014 Approved)Arizona
Registered Investment Advisory firm - (4/28/2014 Terminated)California
Registered Investment Advisory firm - (5/28/2014 Terminated)Illinois
Registered Investment Advisory firm - (4/28/2014 Terminated)Texas
Registered Investment Advisory firm - (4/28/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1630 E River Rd Suite 212, Tucson, AZ 85718
Mailing Address
Phone number
(520) 745-5555
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,354 |
| AUM (Assets Under Management) | $ 391,234,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
