TH
Thomas L. Harnish
NORTHEAST PLANNING ASSOCIATES
BANGOR, ME 04401
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CRD#: 4315606
TH
Professional summary
Thomas Lee Harnish, AIF®, who also goes by Tom Harnish, is a registered financial advisor currently at NORTHEAST PLANNING ASSOCIATES, INC. located in Bangor, Maine and LPL FINANCIAL LLC located in Bangor, Maine.
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 9 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Harnish
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) 11/02/2016: BSMG/Advisor Excel - Non-Variable Insurance - Investment Related - 500 S. Main St, Providence RI 02903/ 2950 SW McClure Rd, Topeka, KS 66614 - Start 08/01/2011 - 4 Hr/Mo; 4 Hour(s) During Securities Trading; 2% Time Spent - Life, fixed annuities, LTC insurance (2) 11/15/2016: Northeast Planning Associates, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 11/1/2016 - 150 Hours Per Month/7 Hours During Securities Trading - Time Spent 90%. (3) 11/15/2016: Northeast Planning Associates, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 11/1/2016 - 150 Hours Per Month/7 Hours During Securities Trading - Time Spent 90%. (4) 07/13/2023 - Harnish Racing LLC - Not Investment Related - Home Based - Other - Reps Business - Owner - Start Date 05/01/2023 - 4 Hours Per Month/ 0 Hours During Trading (5) 03/05/2024 - Provision Wealth Planning - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/30/2024 - 40 Hours Per Month/ 40 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Lee Harnish'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®
Experience
Current
November 2, 2016 - Present
NORTHEAST PLANNING ASSOCIATES, INC.
Office #1: 324 Harlow Street Suite B, Bangor, ME 04401RIA
CRD#: 131406
BANGOR, ME
Current
November 2, 2016 - Present
LPL FINANCIAL LLC
Office #1: 324 Harlow Street Suite B, Bangor, ME 04401RIA
BD
CRD#: 6413
Bangor, ME
Past
April 16, 2014 - July 31, 2017
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
RIA
CRD#: 109771
BANGOR, ME
Past
April 16, 2014 - November 1, 2016
NEWEDGE SECURITIES, LLC
BD
CRD#: 10674
Bangor, ME
Past
January 3, 2011 - April 17, 2014
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
BANGOR, ME
Past
January 3, 2011 - April 17, 2014
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BANGOR, ME
Past
January 7, 2008 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
BANGOR, ME
Past
August 15, 2007 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
BANGOR, ME
Past
April 16, 2001 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
CUMBERLAND FORESIDE, ME
Past
April 16, 2001 - August 13, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
CUMBERLAND FORESIDE, ME
Past
December 11, 2000 - March 20, 2001
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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".
NP
NORTHEAST PLANNING ASSOCIATES, INC.
ACADIA WEALTH PLANNING | TAMAGNI WEALTH ADVISORS | PROVISION WEALTH PLANNING | OLIVE TREE WEALTH | NPA WEALTH MANAGEMENT | NORTHEAST PLANNING ASSOCIATES, INC. | NEWBURYPORT PLANNING | MAINE WEALTH PLANNING | HERITAGE WEALTH PLANNING | EVERGREEN STRATEGIC PARTNERS
CRD#: 131406 / SEC#: 801-110475
RIA
Registered Investment Advisory firm - (4/28/2017 Approved)Arizona
Registered Investment Advisory firm - (11/21/2016 Terminated)California
Registered Investment Advisory firm - (11/24/2007 Terminated)Connecticut
Registered Investment Advisory firm - (9/15/2015 Terminated)Maine
Registered Investment Advisory firm - (6/7/2017 Terminated)Massachusetts
Registered Investment Advisory firm - (5/4/2017 Terminated)Missouri
Registered Investment Advisory firm - (10/25/2007 Terminated)New Hampshire
Registered Investment Advisory firm - (7/17/2017 Terminated)New Jersey
Registered Investment Advisory firm - (11/21/2016 Terminated)Ohio
Registered Investment Advisory firm - (12/2/2014 Terminated)Texas
Registered Investment Advisory firm - (5/4/2017 Terminated)Vermont
Registered Investment Advisory firm - (7/18/2017 Terminated)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.RR
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
RR
Connecticut(4/19/2023)
RR
Florida(11/2/2016)
RR
Maine(11/2/2016)
IAR
Maine(11/2/2016)
RR
Massachusetts(11/2/2016)
RR
Michigan(5/12/2017)
RR
New Hampshire(11/2/2016)
RR
North Carolina(11/2/2016)
RR
Pennsylvania(1/19/2022)
RR
Virginia(5/21/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NP
NORTHEAST PLANNING ASSOCIATES, INC.
ACADIA WEALTH PLANNING | TAMAGNI WEALTH ADVISORS | PROVISION WEALTH PLANNING | OLIVE TREE WEALTH | NPA WEALTH MANAGEMENT | NORTHEAST PLANNING ASSOCIATES, INC. | NEWBURYPORT PLANNING | MAINE WEALTH PLANNING | HERITAGE WEALTH PLANNING | EVERGREEN STRATEGIC PARTNERS
CRD#: 131406 / SEC#: 801-110475
RIA
Registered Investment Advisory firm - (4/28/2017 Approved)Arizona
Registered Investment Advisory firm - (11/21/2016 Terminated)California
Registered Investment Advisory firm - (11/24/2007 Terminated)Connecticut
Registered Investment Advisory firm - (9/15/2015 Terminated)Maine
Registered Investment Advisory firm - (6/7/2017 Terminated)Massachusetts
Registered Investment Advisory firm - (5/4/2017 Terminated)Missouri
Registered Investment Advisory firm - (10/25/2007 Terminated)New Hampshire
Registered Investment Advisory firm - (7/17/2017 Terminated)New Jersey
Registered Investment Advisory firm - (11/21/2016 Terminated)Ohio
Registered Investment Advisory firm - (12/2/2014 Terminated)Texas
Registered Investment Advisory firm - (5/4/2017 Terminated)Vermont
Registered Investment Advisory firm - (7/18/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
43 Constitution Drive, Bedford, NH 03110
Mailing Address
Phone number
(603) 471-0900
Established
Firm type
Fiscal year end
# of Employees
131
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,467 |
| AUM (Assets Under Management) | $ 327,668,966 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NORTHEAST PLANNING ASSOCIATES, INC.
CRD#: 131406Bangor, ME 04401TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
