Thomas Frannicola
Professional summary
Thomas Frannicola, who also goes by Thomas Angelo Frannicola, Thomas Nicholas Frannicola, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Blackwood, New Jersey.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Frannicola's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Frannicola's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
May 10, 2011 - Present
INDEPENDENT FINANCIAL GROUP, LLC
March 1, 2011 - May 10, 2011
HARRISON DOUGLAS, INC.
January 4, 2008 - August 12, 2011
FINANCIAL PLANNING ASSOCIATES,INC.
January 29, 2007 - January 18, 2008
LIBERTY STATE WEALTH MANAGEMENT, INC.
May 24, 2006 - February 24, 2011
ALTERNATIVE WEALTH STRATEGIES, INC.
May 26, 2005 - December 31, 2006
LIBERTY STATE WEALTH MANAGEMENT, INC.
April 27, 2005 - December 18, 2009
RF CONSULTING GROUP, LLC
October 30, 2003 - June 24, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 3, 2003 - December 31, 2004
RF CONSULTING GROUP, LLC
January 2, 2003 - November 18, 2003
WALNUT STREET SECURITIES, INC.
July 31, 2002 - December 11, 2002
EQUITABLE ADVISORS, LLC
January 10, 2001 - December 11, 2002
EQUITABLE ADVISORS, LLC
November 24, 1995 - December 22, 2000
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/7/2019)
(5/24/2024)
(1/30/2018)
(5/10/2011)
(5/10/2011)
(5/10/2011)
(5/10/2011)
(5/10/2011)
Exams
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
