Thomas J. Nardozzi

PERPETUAL WEALTH ADVISORS, L.L.C.

Waxhaw, NC

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CRD#: 5325664

Professional summary

Thomas Joseph Nardozzi, CFP® is a registered financial advisor currently at PERPETUAL WEALTH ADVISORS, L.L.C. located in Waxhaw, North Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Thomas has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

IN ADDITION TO MR. NARDOZZI'S ADVISORY BUSINESS LINES, HE IS A TAX PREPARER AND HE HAS ENGAGED IN FINANCIAL PLANNING EDUCATION ACTIVITIES AS A CFP INSTRUCTOR FOR EMORY UNIVERSITY AND MAY DO SO AGAIN IN THE FUTURE WITH ANOTHER EDUCATIONAL PROVIDER. IN AGGREGATE, HE PLANS TO DEVOTE LESS THAN 25% OF HIS TIME TO THESE ACTIVITIES. THEY WILL NOT AFFECT HIS ADVISORY RESPONSIBILITIES, THOUGH THE TAX PREPARATION AND EDUCATION MAY PROVIDE ADDITIONAL OPPORTUNITIES IN ENGAGING ADVISORY CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Nardozzi'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

Experience

Current

June 13, 2007 - Present

PERPETUAL WEALTH ADVISORS, L.L.C.

RIA

CRD#: 143864

Waxhaw, NC

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

California
(3/16/2011)

IAR

Georgia
(6/13/2007)

IAR

Minnesota
(1/29/2014)

IAR

North Carolina
(3/17/2014)

IAR

Texas
(7/6/2011)

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: 3/30/2007

Uniform Investment Adviser Law Examination

Current Firm

PERPETUAL WEALTH ADVISORS, L.L.C.

CRD#: 143864 / SEC#:

California

Registered Investment Advisory firm - (3/16/2011 Approved)

Georgia

Registered Investment Advisory firm - (6/13/2007 Approved)

Minnesota

Registered Investment Advisory firm - (4/9/2008 Approved)

New Jersey

Registered Investment Advisory firm - (1/5/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (3/11/2014 Approved)

Texas

Registered Investment Advisory firm - (7/6/2011 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

Waxhaw, NC

Mailing Address

13663 Providence Rd. #201, Matthews, NC 28104

Phone number

(404) 380-1977

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 78,521,774

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. Nardozzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Nardozzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERPETUAL WEALTH ADVISORS, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2007

Current Firm

PERPETUAL WEALTH ADVISORS, L.L.C.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PERPETUAL WEALTH ADVISORS, L.L.C.

TRUST BUT VERIFY

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