Thomas C. Hepner

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CRD#: 5365676

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 Charles Hepner, who also goes by Thomas Hepner, Tom Hepner, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2007. Thomas had worked at 6 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Hepner | Tom Hepner

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

August 2, 2021 - January 3, 2022

ANTONETTI CAPITAL MANAGEMENT, LLC

RIA

CRD#: 156551

Fernandina Beach, FL

Past

April 11, 2011 - June 30, 2011

BROKERSXPRESS LLC

RIA

CRD#: 127081

EUSTIS, FL

Past

March 31, 2011 - August 27, 2021

HARBOR WEALTH MANAGEMENT

RIA

CRD#: 155004

EUSTIS, FL

Past

January 6, 2011 - June 30, 2011

BROKERSXPRESS LLC

CRD#: 127081

EUSTIS, FL

Past

July 1, 2010 - October 25, 2010

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

TAVARES, FL

Past

November 21, 2008 - November 16, 2010

RUGGIE WEALTH MANAGEMENT

RIA

CRD#: 145595

TAVARES, FL

Past

September 23, 2008 - June 9, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

TAVARES, FL

Past

December 4, 2007 - October 7, 2009

LPL FINANCIAL LLC

CRD#: 6413

TAVARES, FL

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".

ANTONETTI CAPITAL MANAGEMENT, LLC

ANTONETTI CAPITAL MANAGEMENT, LLC | PARK SHORE CAPITAL | KIENZLE WEALTH CONSULTING | EAGLEVUE CAPITAL

CRD#: 156551 / SEC#: 801-112669

RIA

Registered Investment Advisory firm - (3/26/2018 Approved)

Alabama

Registered Investment Advisory firm - (4/4/2018 Terminated)

Florida

Registered Investment Advisory firm - (4/4/2018 Terminated)

Louisiana

Registered Investment Advisory firm - (4/5/2018 Terminated)

Michigan

Registered Investment Advisory firm - (4/9/2018 Terminated)

New York

Registered Investment Advisory firm - (4/4/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (4/4/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/16/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2018 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 66

Date: 8/28/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/3/2007

General Securities Representative Examination

Current Firm

ANTONETTI CAPITAL MANAGEMENT, LLC

ANTONETTI CAPITAL MANAGEMENT, LLC | PARK SHORE CAPITAL | KIENZLE WEALTH CONSULTING | EAGLEVUE CAPITAL

CRD#: 156551 / SEC#: 801-112669

RIA

Registered Investment Advisory firm - (3/26/2018 Approved)

Alabama

Registered Investment Advisory firm - (4/4/2018 Terminated)

Florida

Registered Investment Advisory firm - (4/4/2018 Terminated)

Louisiana

Registered Investment Advisory firm - (4/5/2018 Terminated)

Michigan

Registered Investment Advisory firm - (4/9/2018 Terminated)

New York

Registered Investment Advisory firm - (4/4/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (4/4/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/16/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2018 Terminated)

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Contact information

Main Address

3200 Bailey Lane Suite 155, Naples, FL 34105

Mailing Address

Phone number

(239) 403-0218

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ACM AMENDED FORM ADV PART 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	338
AUM (Assets Under Management)	$ 121,363,885

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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Advisor Monitoring

Firm Stability Insights

Thomas C. Hepner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROKERSXPRESS LLC

HARBOR WEALTH MANAGEMENT

BROKERSXPRESS LLC

PURSHE KAPLAN STERLING INVESTMENTS

RUGGIE WEALTH MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

ANTONETTI CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2008

Series 7

Date: 12/3/2007

Current Firm

ANTONETTI CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANTONETTI CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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