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Thomas A. Vigil

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CRD#: 3269058
TV

Professional summary

Thomas A Vigil was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas A Vigil was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

April 21, 2020 - November 12, 2024

INFINITY FINANCIAL SERVICES ADVISORY

RIA
CRD#: 304981
Saunderstown, RI
Past

October 3, 2018 - December 31, 2020

INFINITY FINANCIAL SERVICES

RIA
CRD#: 144302
Saunderstown, RI
Past

October 21, 2014 - November 12, 2024

INFINITY FINANCIAL SERVICES

BD
CRD#: 144302
Saunderstown, RI
Past

September 4, 2014 - October 10, 2014

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
SAUNDERSTOWN, RI
Past

August 1, 2014 - October 10, 2014

INVESTORS CAPITAL CORP.

RIA
CRD#: 30613
SAUNDERSTOWN, RI
Past

December 20, 2013 - July 30, 2014

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
WARWICK, RI
Past

December 20, 2013 - July 30, 2014

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
WARWICK, RI
Past

October 16, 2006 - January 2, 2014

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
WESTBORO, MA
Past

December 10, 2002 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

December 10, 2002 - January 2, 2014

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
WESTBORO, MA
Past

December 19, 2001 - May 8, 2002

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

October 12, 2000 - October 12, 2001

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

March 23, 2000 - October 3, 2000

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

March 23, 2000 - October 3, 2000

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

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".
IF
INFINITY FINANCIAL SERVICES ADVISORY
FERRIER FINANCIAL | TRI VALLEY WEALTH MANAGEMENT | STERLING FIRST FINANCIAL | SMITH FINANCIAL GROUP | SILVERLIGHT FINANCIAL | SAOR FINANCIAL | PROVIDENCE FINANCIAL MANAGEMENT | ONELINK FINANCIAL SERVICES | MYZ FINANCIAL | MEDINA PRIVATE WEALTH | LOVELL WEALTH MANAGEMENT | LGC FINANCIAL | JONES CAPITAL MANAGEMENT | INFINITY FINANCIAL SERVICES ADVISORY | HOLADAY FINANCIAL | GUIDANCE FINANCIAL | GILBERT GREG RIA, LLC

CRD#: 304981 / SEC#: 801-117719

RIA
Registered Investment Advisory firm - (12/5/2019 Approved)

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
IAR
Series 65
Date: 7/17/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/18/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/9/2000
Uniform Securities Agent 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: 12/18/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/22/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

IF
INFINITY FINANCIAL SERVICES ADVISORY
FERRIER FINANCIAL | TRI VALLEY WEALTH MANAGEMENT | STERLING FIRST FINANCIAL | SMITH FINANCIAL GROUP | SILVERLIGHT FINANCIAL | SAOR FINANCIAL | PROVIDENCE FINANCIAL MANAGEMENT | ONELINK FINANCIAL SERVICES | MYZ FINANCIAL | MEDINA PRIVATE WEALTH | LOVELL WEALTH MANAGEMENT | LGC FINANCIAL | JONES CAPITAL MANAGEMENT | INFINITY FINANCIAL SERVICES ADVISORY | HOLADAY FINANCIAL | GUIDANCE FINANCIAL | GILBERT GREG RIA, LLC

CRD#: 304981 / SEC#: 801-117719

RIA
Registered Investment Advisory firm - (12/5/2019 Approved)
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Contact information

Main Address
212 9th Street Suite 202, Oakland, CA 94607
Mailing Address
Phone number
(510) 588-8000
Established
Firm type
Fiscal year end
# of Employees
36

SEC notice filing (45 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/28/2025)
ADV 2A APPENDIX WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts918
AUM (Assets Under Management)$ 150,097,662

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

INFINITY FINANCIAL SERVICES ADVISORY

CRD#: 304981

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