Thomas R. Proctor

PROCTOR ADVISORY WEALTH | Vice President, Financial Consultant

WEXFORD, PA

Some features on this profile are disabled

CRD#: 4071229

Professional summary

Thomas Richard Proctor is a registered financial advisor currently at PROCTOR ADVISORY WEALTH, LLC located in Wexford, Pennsylvania.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Thomas has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Biography

I help clients of all ages & circumstances, guiding them to execute a course of action. Everyone needs a flexible plan for their goals to adjust for multiple market conditions.

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 Richard Proctor's 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

Education

University of Cincinnati

Bachelor of Management - Marketing & Management

1998

Experience

Current

May 5, 2026 - Present

PROCTOR ADVISORY WEALTH, LLC

RIA

CRD#: 341417

WEXFORD, PA

Past

March 31, 2025 - October 21, 2025

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

CRANBERRY TWP, PA

Past

July 13, 2018 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

TOWNSHIP, PA

Past

September 25, 2006 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

CRANBERRY TOWNSHIP, PA

Past

December 31, 2001 - August 11, 2006

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WEXFORD, PA

Past

December 13, 1999 - October 21, 2025

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

CRANBERRY TOWNSHIP, PA

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

Pennsylvania
(5/5/2026)

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: 8/6/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/17/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/10/1999

General Securities Representative Examination

Current Firm

PROCTOR ADVISORY WEALTH, LLC

PROCTOR ADVISORY WEALTH LLC | PROCTOR ADVISORY WEALTH, LLC

CRD#: 341417 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (5/5/2026 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

Contact information

Main Address

Wexford, PA

Mailing Address

Phone number

(412) 510-4291

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas R. Proctor

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Richard Proctor's CRS (Customer Relationship Summary).

Certified licenses

Education

University of Cincinnati

Experience

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/6/2001

Series 63

Date: 12/17/1999

SIE

Date: 10/1/2018

Series 7

Date: 12/10/1999

Current Firm

PROCTOR ADVISORY WEALTH, LLC

Contact information

Documents

Red Flags

Company Information

PROCTOR ADVISORY WEALTH, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors