Thomas J. Fazzio

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CRD#: 4996642

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Joseph Fazzio, who also goes by Thomas J Fazzio, Thomas Fazzio, Tom Joseph Fazzio, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2016. Thomas had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas J Fazzio | Thomas Fazzio | Tom Joseph Fazzio

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 21, 2019 - September 19, 2019

BLUESTONE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 157841

WAYNE, PA

Past

January 29, 2019 - September 19, 2019

MCG SECURITIES LLC

CRD#: 163144

WAYNE, PA

Past

June 28, 2016 - June 12, 2018

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

BLUESTONE CAPITAL MANAGEMENT, LLC

BLUESTONE CAPITAL MANAGEMENT, LLC | STRATEGIC WEALTH MANAGEMENT ADVISORS, LLC | OMEGA RETIREMENT SOLUTIONS | OCEANSQUARE ASSET MANAGEMENT, LLC

CRD#: 157841 / SEC#: 801-77657

RIA

Registered Investment Advisory firm - (2/25/2013 Approved)

Pennsylvania

Registered Investment Advisory firm - (3/6/2013 Terminated)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 5/21/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/18/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/28/2016

General Securities Representative Examination

Current Firm

BLUESTONE CAPITAL MANAGEMENT, LLC

BLUESTONE CAPITAL MANAGEMENT, LLC | STRATEGIC WEALTH MANAGEMENT ADVISORS, LLC | OMEGA RETIREMENT SOLUTIONS | OCEANSQUARE ASSET MANAGEMENT, LLC

CRD#: 157841 / SEC#: 801-77657

RIA

Registered Investment Advisory firm - (2/25/2013 Approved)

Pennsylvania

Registered Investment Advisory firm - (3/6/2013 Terminated)

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Contact information

Main Address

37 West Ave Suite 301, Wayne, PA 19087

Mailing Address

Phone number

(610) 337-6500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLUESTONE PART 2A 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	96
AUM (Assets Under Management)	$ 351,518,705

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/30/2025	Cover Page	Report
02/29/2024	Cover Page	Report

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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Firm Stability Insights

Thomas J. Fazzio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MCG SECURITIES LLC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

BLUESTONE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/2019

Series 63

Date: 4/18/2016

SIE

Date: 6/12/2018

Series 7

Date: 6/28/2016

Current Firm

BLUESTONE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BLUESTONE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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