Thomas J. Dooley

LEGATRUST FINANCIAL ADVISORS

Saint Louis, MO 63105

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CRD#: 4980596

Professional summary

Thomas J Dooley, CFP®, ChFC®, CLU®, who also goes by Tom J Dooley, is a registered financial advisor currently at LEGATRUST FINANCIAL ADVISORS, INC. located in Saint Louis, Missouri.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Thomas has worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom J Dooley

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas J Dooley'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®

CFP^®

Certified Financial Planner

Start date: 2019

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

January 12, 2017 - Present

LEGATRUST FINANCIAL ADVISORS, INC.

Office #1: 231 S Bemiston Ave Suite 800, Saint Louis, MO 63105

RIA

CRD#: 152749

Saint Louis, MO

Past

January 25, 2010 - December 31, 2016

LEGATRUST FINANCIAL ADVISORS, INC.

RIA

CRD#: 152749

SAINT LOUIS, MO

Past

January 10, 2008 - November 20, 2009

MONETA GROUP INVESTMENT ADVISORS, LLC

RIA

CRD#: 104727

CLAYTON, MO

Past

November 2, 2006 - December 31, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

ST. LOUIS, MO

Past

October 19, 2005 - December 31, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

ST. LOUIS, MO

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

Missouri
(1/12/2017)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/5/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/15/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/18/2005

General Securities Representative Examination

Current Firm

LEGATRUST FINANCIAL ADVISORS, INC.

CRD#: 152749 / SEC#: 801-71003

RIA

Registered Investment Advisory firm - (5/19/2010 Terminated)

Missouri

Registered Investment Advisory firm - (1/12/2017 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

231 S Bemiston Ave Suite 800, Saint Louis, MO 63105

Mailing Address

Phone number

(314) 932-2185

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 18,100,000

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 J. Dooley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas J Dooley's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGATRUST FINANCIAL ADVISORS, INC.

LEGATRUST FINANCIAL ADVISORS, INC.

MONETA GROUP INVESTMENT ADVISORS, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/5/2006

Series 63

Date: 7/15/2005

Series 7

Date: 10/18/2005

Current Firm

LEGATRUST FINANCIAL ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LEGATRUST FINANCIAL ADVISORS, INC.

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