Thomas R. Seneca

T.M. WEALTH MANAGEMENT

Reston, VA 20190

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CRD#: 4244270

Professional summary

Thomas Ryan Seneca is a registered financial advisor currently at T.M. WEALTH MANAGEMENT located in Reston, Virginia and PURSHE KAPLAN STERLING INVESTMENTS located in Reston, Virginia.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 6 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7 and Series 24 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.

1. T.M. Wealth Management, LLC-Investment related-11702 Bowman Green Drive, Suite 300, Reston, VA 20190-RIA-Partner-12/2017-20 hrs/mth-4 during trading hrs-IAR 2. Licensed Insurance Agent. Not Investment Related. 11702 Bowman Green Drive, Suite 300, Reston, VA 20190. Insurance. Agent. 01/2012. 10 Hrs/Mo; 1 During Trading Hours. Selling Insurance Products. 3. Landlord - Not Investment Related - 11702 Bowman Green Drive, Ste 300, Reston VA 20190 - Rental property - Owner - 10/01/2020 - 0 hours/mo - 0 security hours a month - own real estate.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Ryan Seneca'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

December 5, 2017 - Present

T.M. WEALTH MANAGEMENT

Office #1: 11702 Bowman Green Drive Suite 300, Reston, VA 20190

RIA

CRD#: 287965

Reston, VA

Current

December 5, 2017 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 11702 Bowman Green Drive Suite 300, Reston, VA 20190

CRD#: 35747

Reston, VA

Past

November 1, 2017 - December 7, 2017

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

RESTON, VA

Past

November 1, 2017 - December 7, 2017

CETERA WEALTH SERVICES, LLC

CRD#: 13572

RESTON, VA

Past

January 25, 2012 - November 1, 2017

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

RESTON, VA

Past

January 20, 2012 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

RESTON, VA

Past

February 28, 2011 - January 19, 2012

MY INVESTMENT ADVISOR, INC.

RIA

CRD#: 144616

ST GEORGE, UT

Past

February 22, 2001 - July 15, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

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".

T.M. WEALTH MANAGEMENT

T.M WEALTH MANAGEMENT | TM WEALTH, LLC | T.M. WEALTH MANAGEMENT, LLC | T.M. WEALTH MANAGEMENT

CRD#: 287965 / SEC#: 801-123581

RIA

Registered Investment Advisory firm - (3/31/2022 Approved)

Utah

Registered Investment Advisory firm - (4/1/2022 Terminated)

Virginia

Registered Investment Advisory firm - (4/13/2022 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(11/3/2022)

Georgia
(12/6/2018)

Maryland
(11/26/2019)

South Carolina
(11/3/2022)

Texas
(11/3/2022)

IAR

Texas
(3/20/2024)

Utah
(12/5/2017)

IAR

Utah
(12/8/2017)

Virginia
(12/5/2017)

IAR

Virginia
(12/5/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/31/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/24/2011

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/19/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/18/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

T.M. WEALTH MANAGEMENT

T.M WEALTH MANAGEMENT | TM WEALTH, LLC | T.M. WEALTH MANAGEMENT, LLC | T.M. WEALTH MANAGEMENT

CRD#: 287965 / SEC#: 801-123581

RIA

Registered Investment Advisory firm - (3/31/2022 Approved)

Utah

Registered Investment Advisory firm - (4/1/2022 Terminated)

Virginia

Registered Investment Advisory firm - (4/13/2022 Terminated)

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Contact information

Main Address

11702 Bowman Green Drive Suite 300, Reston, VA 20190

Mailing Address

Phone number

(703) 537-8351

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-T.M. WEALTH MANAGEMENT, LLC (5/14/2025)

Regulatory assets under management

Total Number of Accounts	424
AUM (Assets Under Management)	$ 162,786,356

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 R. Seneca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Ryan Seneca's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

MY INVESTMENT ADVISOR, INC.

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

T.M. WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 1/31/2012

Series 65

Date: 2/24/2011

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/19/2012

Series 24

Date: 7/18/2012

FINRA

Current Firm

T.M. WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

T.M. WEALTH MANAGEMENT

TRUST BUT VERIFY

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