Thomas N. Felgner
Professional summary
Thomas N Felgner, who also goes by Thomas Norman Felgner, is a registered financial advisor currently at OLIVER REGAN ADVISORS, LLC located in San Marino, California.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Thomas has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas N Felgner's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2016 - Present
OLIVER REGAN ADVISORS, LLC
November 3, 2011 - January 25, 2016
WEDBUSH SECURITIES INC.
March 14, 2001 - February 20, 2002
BANC OF AMERICA SECURITIES LLC
October 6, 1995 - April 5, 2001
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/16/2016)
Exams
Series 55
Date: 2/14/2012
Limited Representative-Equity Trader ExamCurrent Firm
OLIVER REGAN ADVISORS, LLC
CRD#: 282887 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 6,976,032 |
Red Flags
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