Thomas James Tavenner
Professional Summary
Thomas James Tavenner is a registered financial advisor currently at TAVCO FINANCIAL ADVISORY, INC located in Springfield, Ohio and THE TAVENNER COMPANY located in Springfield, Ohio. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
13 years in the financial services industry
Current & Past Employments
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Current Firm
TAVCO FINANCIAL ADVISORY, INC
Contact Information
Main Address
4910 Old Mechanicsburg Rd, Springfield, OH 45502Phone Number
(937) 399-8415# of Employees
4Documents
Regulatory Assets Under Management
Total Number of Accounts
86AUM (Assets Under Management)
$10,488,946Similar Advisors
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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.
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State Registrations and Notice Filings
(7/30/2024)
(1/5/2018)
(1/9/2018)
(7/28/2026)
(1/8/2018)
(5/28/2014)
(1/26/2024)
(7/29/2024)
(1/2/2018)
(12/1/2017)
(1/3/2018)
(7/10/2013)
(11/16/2017)
(12/2/2020)
(1/9/2018)
(1/22/2018)
(2/3/2021)
(6/12/2024)
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.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2013About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Sep 2013About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Tavenner's CRS (Customer Relationship Summary).
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