Thomas E. Hess
Professional summary
Thomas Edward Hess, who also goes by Tom Edward Hess, is a registered financial advisor currently at IP FINANCIAL ADVISORY SERVICES LLC located in Huntington Beach, California and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Edward Hess's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 23, 2024 - Present
IP FINANCIAL ADVISORY SERVICES LLC
May 22, 2024 - Present
INNOVATION PARTNERS LLC
Office #1: 5950 Fairview Road Suite 140, Charlotte, NC 28210February 18, 2021 - May 13, 2024
PARSONEX SECURITIES, INC.
November 20, 1996 - March 20, 1997
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/9/2025)
(5/22/2024)
(5/23/2024)
(7/25/2024)
(7/9/2025)
(7/9/2025)
Exams
Series 6TO
Date: 2/17/2021
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
IP FINANCIAL ADVISORY SERVICES LLC
CRD#: 305772 / SEC#: 801-117481
Contact information
SEC notice filing (48 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,887 |
| AUM (Assets Under Management) | $ 456,110,407 |
Red Flags
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