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Thomas E. Ahern

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CRD#: 2933920
TA

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 Edward Ahern, CFP®, who also goes by Tom Edward Ahern, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 19 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Edward Ahern

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.
1)Creative Capital Wealth Management;investment related;1220 Valley Forge Road,Suite 3,Phoenixville,PA 19460;dba investment & client services activities;financial advisor-director of planning service;10/2012;170 hrs/month;6.5 hrs during trading;no discretionary investments,financial planning & investment recommendations,client service,client review meeting 2) Thomas Ahern; non-investment-related; 1220 Valley Forge Road,Suite 3,Phoenixville,PA 19460; insurance agent; 12/1997, approximately 25% of time during the month during trading hours; licensed insurance agent. 3)Creative Capital Wealth Management Group;investment related;1220 Valley Forge Road,Suite 3,Phoenixville,PA 19460;RIA;financial advisor,CFP;9/2019;80 hrs/month;3.5 hrs during trading;financial planning Arkadios Capital, investment-related, 309 East Paces Ferry Rd NE UNIT 1000, Atlanta, GA 30305, Brokerage Firm, Registered Representative, 06/2020, 25 hrs/month, 25 hrs/ month

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®
CFP®

Certified Financial Planner

Start date: 2013

Experience

Past

June 6, 2020 - April 30, 2024

ARKADIOS CAPITAL

BD
CRD#: 282710
CHESTER SPRINGS, PA
Past

June 5, 2020 - October 19, 2020

ARKADIOS WEALTH ADVISORS

RIA
CRD#: 288863
Phoenixville, PA
Past

September 10, 2019 - August 22, 2025

CREATIVE CAPITAL WEALTH MANAGEMENT GROUP

RIA
CRD#: 304376
CHESTER SPRINGS, PA
Past

July 1, 2016 - December 31, 2019

TRIAD ADVISORS LLC

RIA
CRD#: 25803
Phoenixville, PA
Past

July 1, 2016 - June 5, 2020

TRIAD ADVISORS LLC

BD
CRD#: 25803
Phoenixville, PA
Past

November 12, 2012 - July 7, 2016

FIRST ALLIED ADVISORY SERVICES, INC.

RIA
CRD#: 137888
PHOENIXVILLE, PA
Past

November 12, 2012 - July 5, 2016

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
PHOENIXVILLE, PA
Past

September 1, 2010 - December 31, 2010

USA FINANCIAL SECURITIES LLC

RIA
CRD#: 103857
WEST CHESTER, PA
Past

September 1, 2010 - December 31, 2010

USA FINANCIAL SECURITIES LLC

BD
CRD#: 103857
WEST CHESTER, PA
Past

March 31, 2010 - August 19, 2010

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
HORSHAM, PA
Past

March 11, 2010 - August 19, 2010

NYLIFE SECURITIES LLC

BD
CRD#: 5167
HORSHAM, PA
Past

January 5, 2009 - January 27, 2010

CENTAURUS FINANCIAL, INC.

RIA
CRD#: 30833
LANGHORNE, PA
Past

January 2, 2009 - January 27, 2010

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
LANGHORNE, PA
Past

October 30, 2008 - December 31, 2008

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
WEST CHESTER, PA
Past

August 12, 2006 - September 29, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
OMAHA, NE
Past

August 12, 2006 - September 29, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
OMAHA, NE
Past

May 26, 2006 - August 12, 2006

PIPER SANDLER & CO.

RIA
CRD#: 665
OMAHA, NE
Past

September 2, 2005 - August 12, 2006

PIPER SANDLER & CO.

BD
CRD#: 665
OMAHA, NE
Past

February 15, 2005 - August 26, 2005

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

February 15, 2005 - August 26, 2005

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

May 7, 2004 - October 7, 2004

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

September 24, 2003 - May 20, 2004

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT
Past

August 22, 2000 - October 16, 2003

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY
Past

November 6, 1997 - June 7, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/25/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/4/1997
General Securities Representative Examination

Current Firm

AC
ARKADIOS CAPITAL
ARKADIOS CAPITAL | MSY SECURITIES, LLC | ARKADIOS CAPITAL, LLC

CRD#: 282710 / SEC#: , 8-69729

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Mailing Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Phone number
(404) 445-0035
Established
Georgia since 11/23/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARKADIOS HOLDINGS, INC.OWNER
HARRISON, JOHN DORWARDEXECUTIVE DIRECTOR2361768
MILLER, NATALIE LANEFINOP, POO, PFO5627988
MILLICAN, DAVID YANCEY IVCEO2788060
SCHWARTZ, GARY STEVENCHIEF COMPLIANCE OFFICER2691699

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.

Company Information

ARKADIOS CAPITAL

CRD#: 282710

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