Thomas A. Turiano

SOUTHPORT STATION FINANCIAL MANAGEMENT

Southport, CT 06890

Some features on this profile are disabled

CRD#: 4290177

Professional summary

Thomas Anthony Turiano, CFP®, ChFC® is a registered financial advisor currently at SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC located in Southport, Connecticut and PURSHE KAPLAN STERLING INVESTMENTS located in Southport, Connecticut.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 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.BARTH INSURANCE AGENCY; NOT INVESTMENT-RELATED; 100-P LANSDALE AVE. MILFORD CT 06460; START DATE 08/2008; 10 HRS/MONTH; 3 HRS DURING SECURITY HRS; INDEPENDENT INSURANCE AGENT; SELLING PROPERTY & CASUALTY INSURANCE; DEVELOP LEADS FOR POTENTIAL INSURANCE SALES. 2. SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC; INVESTMENT-RELATED; 368 CENTER ST. SOUTHPORT CT 06890; REGISTERED INVESTMENT ADVISORY; FINANCIAL ADVISOR; START 03/2008; 140 HRS/MO; 110 HRS DURING SECURITY HRS; WORK WITH CLIENTS PRETAINING TO INVESTMENTS AND FINANCIAL PLANNING. 3. Double T Sports Memorabilia, LLC. Non-Investment Related. 6149 Cartmel Lane, Windermere, FL 34786. Buying and selling sports memorabilia. Owner. Start 11/1/2020. Buy and sell sports memorabilia.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Anthony Turiano'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®

CFP^®

Certified Financial Planner

Start date: 2006

ChFC^®

Chartered Financial Consultant

Experience

Current

April 4, 2008 - Present

SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC

Office #1: 368 Center Street, Southport, CT 06890

RIA

CRD#: 146270

Southport, CT

Current

June 4, 2009 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 368 Center Street, Southport, CT 06890

CRD#: 35747

Southport, CT

Past

June 25, 2004 - April 3, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

SOUTHPORT, CT

Past

June 25, 2004 - April 3, 2008

LPL FINANCIAL LLC

CRD#: 6413

SOUTHPORT, CT

Past

June 28, 2001 - September 4, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FAIRFIELD, CT

Past

May 23, 2001 - September 4, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 8, 2000 - January 4, 2001

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

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".

SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC

CRD#: 146270 / SEC#: 801-68863

RIA

Registered Investment Advisory firm - (2/28/2008 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.

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

IAR

Connecticut
(4/4/2008)

Connecticut
(6/4/2009)

Florida
(4/23/2018)

IAR

Florida
(11/17/2020)

New York
(10/11/2010)

IAR

Texas
(5/29/2013)

Virginia
(3/18/2020)

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

IAR

Series 66

Date: 6/15/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/7/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC

CRD#: 146270 / SEC#: 801-68863

RIA

Registered Investment Advisory firm - (2/28/2008 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

368 Center Street, Southport, CT 06890

Mailing Address

Phone number

(203) 254-2333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	385
AUM (Assets Under Management)	$ 183,877,401

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

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

Donald Henry

CITIGROUP GLOBAL MARKETS INC.

IAR

Norwalk, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas A. Turiano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Anthony Turiano's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Primary Firm SEC Registration

SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/15/2001

SIE

Date: 10/1/2018

Series 7

Date: 5/22/2001

Series 6

Date: 11/7/2000

FINRA

Current Firm

SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors