Thomas R. Gainor

GUIDANCE INVESTMENTS

Reston, VA 20190

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CRD#: 4582611

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Gainor

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.

MOFFA GAINOR & SUTTON, PA, ONE FINANCIAL PLAZA, SUITE 2202, FORT LAUDERDALE, FL 33324; DIRECTOR, OWNER AND EMPLOYEE OF THIS LAW FIRM. FOUNDED FIRM IN 4/2001. SPEND LESS THAN 5 HOURS PER MONTH. THIS BUSINESS IS NOT INVESTMENT-RELATED. MR. GAINOR SERVES AS THE SENIOR VICE PRESIDENT AND GENERAL COUNSEL FOR THE FIRM"S AFFILIATES. THEY ARE: GUIDANCE FINANCIAL GROUP, LLC; GUIDANCE RESIDENTIAL, LLC; AND, GUIDANCE INVESTMENTS, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Richard Gainor'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®

None

Experience

Current

September 17, 2012 - Present

GUIDANCE INVESTMENTS, LLC

Office #1: 11107 Sunset Hills Rd 3rd Fl., Reston, VA, 20190

RIA

CRD#: 119897

Reston, VA

Current

April 7, 2003 - Present

GUIDANCE SECURITIES, LLC

Office #1: 11107 Sunset Hills Road, Suite 300, Reston, VA 20190Office #2: 11107 Sunset Hills Road, Reston, VA 20190

CRD#: 121056

Reston, VA

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

Virginia
(9/17/2012)

Virginia
(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

State Security Law Exam

IAR

Series 66

Date: 9/15/2012

Uniform Combined State 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: 4/4/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 9/5/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GUIDANCE INVESTMENTS, LLC

CRD#: 119897 / SEC#: 801-62614

RIA

Registered Investment Advisory firm - (9/18/2012 Terminated)

Virginia

Registered Investment Advisory firm - (9/18/2012 Approved)

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).

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Contact information

Main Address

11107 Sunset Hills Rd 3rd Fl., Reston, VA, 20190

Mailing Address

Phone number

(703) 885-0824

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Thomas R. Gainor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Richard Gainor's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUIDANCE INVESTMENTS, LLC

GUIDANCE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/15/2012

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/4/2003

Series 14

Date: 1/2/2023

Series 24

Date: 9/5/2003

FINRA

Current Firm

GUIDANCE INVESTMENTS, LLC

Contact information

Documents

Red Flags

Company Information

GUIDANCE INVESTMENTS, LLC

TRUST BUT VERIFY

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