Thomas C. West

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CRD#: 3237355

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 Cole West, who also goes by Tom West, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom West

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

November 16, 2016 - July 31, 2019

FIRST ADVISORS NATIONAL, LLC

RIA

CRD#: 166212

Thompson Station, TN

Past

November 19, 2004 - November 1, 2016

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

FRANKLIN, TN

Past

June 3, 2002 - November 1, 2016

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

FRANKLIN, TN

Past

November 22, 2000 - June 10, 2002

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

March 21, 2000 - December 7, 2000

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

March 21, 2000 - December 7, 2000

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

September 30, 1999 - February 22, 2000

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 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.

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: 11/16/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/4/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/27/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FIRST ADVISORS NATIONAL, LLC

FIRST ADVISORS NATIONAL, LLC | FIRST AMERICAN NATIONAL INVESTMENT ADVISORS, LLC

CRD#: 166212 / SEC#: 801-77440

RIA

Registered Investment Advisory firm - (12/18/2012 Approved)

Georgia

Registered Investment Advisory firm - (3/22/2013 Terminated)

Illinois

Registered Investment Advisory firm - (1/22/2013 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2013 Terminated)

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Contact information

Main Address

1372 Peachtree Street Ne, Atlanta, GA 30309

Mailing Address

Phone number

+1 (855) 326-7427

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FAN ADVISORS FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,207
AUM (Assets Under Management)	$ 501,113,212

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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Advisor Monitoring

Firm Stability Insights

Thomas C. West

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

OSAIC FS, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

FIRST ADVISORS NATIONAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/16/2004

Series 63

Date: 8/25/1999

SIE

Date: 11/1/2016

Series 7

Date: 10/4/2000

Series 6

Date: 9/27/1999

Current Firm

FIRST ADVISORS NATIONAL, LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST ADVISORS NATIONAL, LLC

TRUST BUT VERIFY

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