Thomas J. Dauria

TANDEM INVESTMENT PARTNERS

BORDENTOWN, NJ 08505

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CRD#: 2835589

Professional summary

Thomas Jude Dauria, who also goes by Thomas Jude D'auria, is a registered financial advisor currently at TANDEM INVESTMENT PARTNERS, LLC located in Bordentown, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Thomas has worked at 4 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Jude D'auria

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) - RIA

Click below to view Thomas Jude Dauria's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 25, 2014 - Present

TANDEM INVESTMENT PARTNERS, LLC

Office #1: 3 Third Street Suite 215, Bordentown, NJ 08505

RIA

CRD#: 172309

BORDENTOWN, NJ

Past

June 14, 2011 - September 30, 2014

TANDEM WEALTH ADVISORS

RIA

CRD#: 157794

PHOENIX, AZ

Past

December 2, 1999 - December 17, 2004

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

Past

January 28, 1997 - January 6, 1998

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

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".

TANDEM INVESTMENT PARTNERS, LLC

CRD#: 172309 / SEC#: 801-121703

RIA

Registered Investment Advisory firm - (7/7/2021 Approved)

Arizona

Registered Investment Advisory firm - (7/22/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (8/23/2021 Terminated)

New York

Registered Investment Advisory firm - (7/22/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/23/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New Jersey
(8/13/2014)

IAR

Texas
(7/25/2014)

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

General Industry/Product Exam

Series 7

Date: 1/24/1997

General Securities Representative Examination

Current Firm

TANDEM INVESTMENT PARTNERS, LLC

CRD#: 172309 / SEC#: 801-121703

RIA

Registered Investment Advisory firm - (7/7/2021 Approved)

Arizona

Registered Investment Advisory firm - (7/22/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (8/23/2021 Terminated)

New York

Registered Investment Advisory firm - (7/22/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/23/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2021 Terminated)

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Contact information

Main Address

3 Third Street Suite 215, Bordentown, NJ 08505

Mailing Address

Phone number

(609) 452-2100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TANDEM INVESTMENT PARTNERS PART 2 DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	441
AUM (Assets Under Management)	$ 175,564,991

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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Thomas J. Dauria

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Jude Dauria's CRS (Customer Relationship Summary).

Certified licenses

Experience

TANDEM INVESTMENT PARTNERS, LLC

TANDEM WEALTH ADVISORS

HSBC BROKERAGE (USA) INC.

FAM DISTRIBUTORS, INC.

Primary Firm SEC Registration

TANDEM INVESTMENT PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 7

Date: 1/24/1997

Current Firm

TANDEM INVESTMENT PARTNERS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TANDEM INVESTMENT PARTNERS, LLC

TRUST BUT VERIFY

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