Thomas Richard Gainor
Professional Summary
Thomas Richard Gainor, who also goes by Tom Gainor, is a registered financial advisor currently at GUIDANCE INVESTMENTS, LLC located in Reston, Virginia and GUIDANCE SECURITIES, LLC located in Reston, Virginia. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Thomas has worked at 2 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Gainor
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
23 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
GUIDANCE INVESTMENTS, LLC
Contact Information
Main Address
11107 Sunset Hills Rd 3rd Fl., Reston, VA, 20190Phone Number
(703) 885-0824# of Employees
5Documents
Regulatory Assets Under Management
Total Number of Accounts
1AUM (Assets Under Management)
$5,697,449Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/17/2012)
(6/4/2014)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Richard Gainor's CRS (Customer Relationship Summary).
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