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Thomas Scott Brenner

Thomas S. Brenner

DLK INVESTMENT MANAGEMENT | Financial Advisor
SOLANA BEACH, CA 92075
Some features on this profile are disabled
CRD#: 4458594
Thomas Scott Brenner

Professional summary

Thomas Scott Brenner, CFP®, who also goes by Tom Scott Brenner, is a registered financial advisor currently at DLK INVESTMENT MANAGEMENT located in Solana Beach, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Thomas has worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Biography

Tom has been working in the financial services industry since 2001. In 2010 he co-founded Nautilus Advisors, an independent RIA specializing in financial planning and investment management. Tom is a Certified Financial Planner, CFP® and works with a wide range of clients. He graduated with a B.A. from the University of Rhode Island in 1996.
top-8-questions

Question & Answer

What are your service offerings?
Retirement Planning
Comprehensive Financial Planni...
Education Planning
Investment Planning
Retirement Income Management
Are you a "fiduciary"?
Yes

Aliases

Tom Scott Brenner

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.
INDEPENDENT INSURANCE AGENT SELLING DISABILITY, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE 5 WEEKDAY AND 0 EVENING/WEEKEND HOURS STARTED 1/02.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Scott Brenner'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: 2013

Experience

Current

March 26, 2019 - Present

DLK INVESTMENT MANAGEMENT

Office #1: 238 North Cedros Ave Suite 200, Solana Beach, CA 92075
RIA
CRD#: 149096
SOLANA BEACH, CA
Past

September 1, 2010 - April 2, 2019

NAUTILUS ADVISORS LLC

RIA
CRD#: 154169
SAN DIEGO, CA
Past

September 15, 2005 - September 9, 2010

NEW ENGLAND SECURITIES

RIA
CRD#: 615
SAN DIEGO, CA
Past

January 23, 2002 - September 9, 2010

NEW ENGLAND SECURITIES

BD
CRD#: 615
SAN DIEGO, CA

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".
DI
DLK INVESTMENT MANAGEMENT
DLK INVESTMENT ADVISORS, LLC | DLK INVESTMENT MANAGEMENT, LLC | DLK INVESTMENT MANAGEMENT

CRD#: 149096 / SEC#: 801-69825

RIA
Registered Investment Advisory firm - (1/5/2009 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.

Highlighted states indicate IAR registrations

IAR
California
(3/26/2019)
IAR
Texas
(3/26/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/10/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/26/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/2/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/22/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

DI
DLK INVESTMENT MANAGEMENT
DLK INVESTMENT ADVISORS, LLC | DLK INVESTMENT MANAGEMENT, LLC | DLK INVESTMENT MANAGEMENT

CRD#: 149096 / SEC#: 801-69825

RIA
Registered Investment Advisory firm - (1/5/2009 Approved)
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Contact information

Main Address
238 North Cedros Ave Suite 200, Solana Beach, CA 92075
Mailing Address
Phone number
(858) 433-3200
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DLK ADV PART 2A BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts1,122
AUM (Assets Under Management)$ 435,005,553

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.

Company Information

DLK INVESTMENT MANAGEMENT

Financial AdvisorCRD#: 149096Solana Beach, CA 92075

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