Thomas M. Brahney

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CRD#: 4027119

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 Matthew Brahney was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

August 18, 2015 - July 13, 2016

J.W. KORTH & COMPANY

CRD#: 26455

Delray Beach, FL

Past

January 31, 2014 - August 4, 2015

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758

BOCA RATON, FL

Past

January 3, 2002 - January 31, 2014

JVB FINANCIAL GROUP, LLC

CRD#: 104412

BOCA RATON, FL

Past

November 1, 1999 - December 21, 2001

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

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".

J.W. KORTH & COMPANY

J W KORTH & COMPANY | J.W. KORTH AND COMPANY | J.W. KORTH & COMPANY, LIMITED PARTNERSHIP | J.W. KORTH & COMPANY

CRD#: 26455 / SEC#: 801-85185, 8-42712

RIA

Registered Investment Advisory firm - SEC (3/13/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (12/31/2018 Terminated)

Maryland

Registered Investment Advisory firm - SEC (4/8/2014 Terminated)

Michigan

Registered Investment Advisory firm - SEC (8/7/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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

Series 63

Date: 1/20/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/3/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 7/13/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/30/1999

General Securities Representative Examination

Current Firm

J.W. KORTH & COMPANY

J W KORTH & COMPANY | J.W. KORTH AND COMPANY | J.W. KORTH & COMPANY, LIMITED PARTNERSHIP | J.W. KORTH & COMPANY

CRD#: 26455 / SEC#: 801-85185, 8-42712

RIA

Registered Investment Advisory firm - SEC (3/13/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (12/31/2018 Terminated)

Maryland

Registered Investment Advisory firm - SEC (4/8/2014 Terminated)

Michigan

Registered Investment Advisory firm - SEC (8/7/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

6500 Centurion Drive Suite 250, Lansing, MI 48917

Mailing Address

6500 Centurion Drive Suite 250, Lansing, MI 48917

Phone number

(517) 333-4512

Established

Michigan since 03/16/1990

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

J. W. KORTH & COMPANY - INVESTMENT MANAGEMENT (3/31/2025)

J. W. KORTH & COMPANY - MARGIN INVESTMENT MANAGEMENT AND CUSTODY ARRANGEMENT SERVICES (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
J W KORTH LLC	GENERAL PARTNER
KORTH DIRECT MORTGAGE INC	SOLE MEMBER OF J W KORTH LLC, THE GENERAL PARTNER OF J W KORTH
GIBBONS, MICHAEL LOUIS	CCO	4416942
HIPP, PAMELA JEAN	MANAGING DIRECTOR, FIXED INCOME TRADING	2783224
KORTH, JAMES WILDER	MANAGING PARTNER	1091113
MACDONALD-KORTH, HOLLY CHRISTINA	FINOP, MANAGING DIRECTOR	5270817

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 225,625,781

Disclosures

Regulatory Event	6
Civil Event	1

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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Firm Stability Insights

Thomas M. Brahney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COHEN & COMPANY SECURITIES, LLC

JVB FINANCIAL GROUP, LLC

RYAN BECK & CO.

Primary Firm SEC Registration

J.W. KORTH & COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 1/20/2012

Series 65

Date: 4/3/2000

SIE

Date: 7/13/2016

Series 7

Date: 10/30/1999

Current Firm

J.W. KORTH & COMPANY

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (23 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

J.W. KORTH & COMPANY

TRUST BUT VERIFY

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