Thomas J. Tolley

TOLLEY FINANCIAL GROUP

Raleigh, NC 27613

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CRD#: 5107907

Professional summary

Thomas Jacob Tolley, who also goes by Thomas Jacob Tolley Mr., is a registered financial advisor currently at TOLLEY FINANCIAL GROUP, LLC located in Raleigh, North Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Thomas has worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Jacob Tolley Mr.

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 Jacob Tolley'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 3, 2019 - Present

TOLLEY FINANCIAL GROUP, LLC

Office #1: 7101 Creedmoor Road Suite 123, Raleigh, NC 27613

RIA

CRD#: 302115

Raleigh, NC

Past

February 28, 2014 - August 30, 2019

COPPERLEAF CAPITAL, LLC

RIA

CRD#: 117823

RALEIGH, NC

Past

October 20, 2006 - January 19, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SUTTON, WV

Past

July 24, 2006 - January 19, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SUTTON, WV

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

North Carolina
(9/3/2019)

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: 2/28/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/19/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/21/2006

General Securities Representative Examination

Current Firm

TOLLEY FINANCIAL GROUP, LLC

CRD#: 302115 / SEC#:

North Carolina

Registered Investment Advisory firm - (9/3/2019 Approved)

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Contact information

Main Address

7101 Creedmoor Road Suite 123, Raleigh, NC 27613

Mailing Address

Phone number

(919) 747-9698

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	347
AUM (Assets Under Management)	$ 80,343,263

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. Tolley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Jacob Tolley's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOLLEY FINANCIAL GROUP, LLC

COPPERLEAF CAPITAL, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2014

Series 66

Date: 10/19/2006

Series 7

Date: 7/21/2006

Current Firm

TOLLEY FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TOLLEY FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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