Thomas B. Henriques

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CRD#: 2829238

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Barlow Henriques, who also goes by Thomas B Henriques, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas B Henriques

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 4, 2017 - February 8, 2017

NAVY FEDERAL INVESTMENT SERVICES, LLC

RIA

CRD#: 138459

RESTON, VA

Past

October 12, 2007 - January 4, 2017

NAVY FEDERAL ASSET MANAGEMENT, LLC

RIA

CRD#: 144244

RESTON, VA

Past

October 10, 2007 - February 8, 2017

NAVY FEDERAL INVESTMENT SERVICES, LLC

CRD#: 138459

RESTON, VA

Past

April 5, 2005 - September 18, 2007

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

CENTRAL FALLS, RI

Past

September 25, 2002 - September 18, 2007

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

CENTRAL FALLS, RI

Past

March 14, 2001 - June 26, 2002

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

November 15, 1999 - February 8, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 5, 1996 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

December 5, 1996 - November 2, 1999

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

NAVY FEDERAL INVESTMENT SERVICES, LLC

NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA

Registered Investment Advisory firm - SEC (6/21/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/8/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/16/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/7/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/4/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NAVY FEDERAL INVESTMENT SERVICES, LLC

NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA

Registered Investment Advisory firm - SEC (6/21/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1007 Electric Ave, Vienna, VA 22180

Mailing Address

1007 Electric Ave, Vienna, VA 22180

Phone number

(877) 221-8108

Established

Virginia since 09/06/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

176

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NFIS 2A DISCLOSURE BROCHURE (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
NAVY FEDERAL FINANCIAL GROUP	OWNER
ROSSON, TIMOTHY DAVID	FINOP / PRINCIPAL FINANACIAL OFFICER	7152744
WEISBERG, STEVEN LESLIE	CHIEF COMPLIANCE OFFICER / VP COMPLIANCE, LEGAL & RISK & OPERATIONS	6268061
YOUNG, DIANE	CHIEF OPERATING OFFICER	3098010

Regulatory assets under management

Total Number of Accounts	7,472
AUM (Assets Under Management)	$ 1,713,608,579

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.

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Firm Stability Insights

Thomas B. Henriques

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NAVY FEDERAL ASSET MANAGEMENT, LLC

NAVY FEDERAL INVESTMENT SERVICES, LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

IFMG SECURITIES, INC.

MORGAN STANLEY DW INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

NAVY FEDERAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/1999

Series 63

Date: 1/3/1997

SIE

Date: 2/8/2017

Series 31

Date: 3/16/2000

Series 7

Date: 5/7/1998

Series 6

Date: 12/4/1996

Current Firm

NAVY FEDERAL INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

NAVY FEDERAL INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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