Thomas E. Finley

WAVERLY ADVISORS

CINCINNATI, OH 45242

Some features on this profile are disabled

CRD#: 3258696

Professional summary

Thomas Edward Finley is a registered financial advisor currently at WAVERLY ADVISORS, LLC located in Cincinnati, Ohio.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Thomas has worked at 7 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Edward Finley'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

October 22, 2024 - Present

WAVERLY ADVISORS, LLC

Office #1: 4420 Cooper Road, Cincinnati, OH 45242

RIA

CRD#: 115332

CINCINNATI, OH

Past

January 4, 2021 - December 2, 2024

9258 WEALTH MANAGEMENT, LLC

RIA

CRD#: 290693

BLUE ASH, OH

Past

September 27, 2018 - October 6, 2020

THE HUNTINGTON INVESTMENT COMPANY

RIA

CRD#: 16986

COLUMBUS, OH

Past

September 27, 2018 - October 6, 2020

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

COLUMBUS, OH

Past

February 26, 2018 - October 5, 2018

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

BEAVERCREEK, OH

Past

February 26, 2018 - October 5, 2018

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

BEAVERCREEK, OH

Past

June 1, 2009 - February 1, 2018

MORGAN STANLEY

RIA

CRD#: 149777

BEAVERCREEK, OH

Past

June 1, 2009 - February 1, 2018

MORGAN STANLEY

CRD#: 149777

BEAVERCREEK, OH

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

CINCINNATI, OH

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

CINCINNATI, OH

Past

January 18, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CENTERVILLE, OH

Past

September 3, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

CENTERVILLE, OH

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".

WAVERLY ADVISORS, LLC

CRD#: 115332 / SEC#: 801-60741

RIA

Registered Investment Advisory firm - (11/30/2001 Approved)

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

Ohio
(10/22/2024)

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 66

Date: 8/26/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/11/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/2/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/11/2024

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/11/2024

General Securities Sales Supervisor - Options Module Examination

Current Firm

WAVERLY ADVISORS, LLC

CRD#: 115332 / SEC#: 801-60741

RIA

Registered Investment Advisory firm - (11/30/2001 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

600 University Park Place Suite 501, Birmingham, AL 35209

Mailing Address

Phone number

(205) 871-3334

Established

Firm type

Fiscal year end

# of Employees

371

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAVERLY - ADV PART 2A BROCHURE (11/21/2025)

Regulatory assets under management

Total Number of Accounts	34,313
AUM (Assets Under Management)	$ 28,263,743,199

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/27/2025	Cover Page	Report
02/16/2024	Cover Page	Report
06/15/2023	Cover Page	Report

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.

Similar Advisors

Jamie Powell

CAPITAL ADVISORY SERVICES, LLC

IAR

West Chester, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas E. Finley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Edward Finley's CRS (Customer Relationship Summary).

Certified licenses

Experience

9258 WEALTH MANAGEMENT, LLC

THE HUNTINGTON INVESTMENT COMPANY

THE HUNTINGTON INVESTMENT COMPANY

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

WAVERLY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2004

Series 7TO

Date: 1/11/2024

SIE

Date: 10/1/2018

Series 7

Date: 9/2/1999

Series 10

Date: 1/11/2024

Series 9

Date: 1/11/2024

Current Firm

WAVERLY ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WAVERLY ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors