TT
Thomas J. Taranto
HBKS WEALTH ADVISORS
CANFIELD, OH 44406
Some features on this profile are disabled
CRD#: 5471153
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Professional summary
Thomas J Taranto, AIF®, CFP®, who also goes by Thomas Taranto, Tom J Taranto, Tom Taranto, is a registered financial advisor currently at HBKS WEALTH ADVISORS located in Canfield, Ohio and PURSHE KAPLAN STERLING INVESTMENTS located in Canfield, Ohio.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Thomas has worked at 3 firms and has passed the Series 63, Series 66, Series 99TO, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Taranto | Tom J Taranto | Tom Taranto
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.
1) 1. HBKS Wealth Advisors 2. Investment Related - Yes 3. See office of employment address 4. RIA 5. Senior Financial Advisor 6. 1/27/2023 7. 160 hrs 8. 160 hrs 9. Senior Financial Advisor 2) 1. HBK Sorce Insurance, LLC 2. Investment Related - Yes 3. See office of employment address 4. Insurance Agency 5. Insurance Agent 6. 01/2011 7. 5 hrs 8. 5 hrs 9. Insurance Sales 3) 1. Fixed Insurance 2. Investment Related - Yes 3. See office of employment address 4. Fixed Insurance/Annuity 5. Agent 6. 1/27/2023 7. 5 hrs 8. 5 hrs 9. Provide insurance advice based on the needs of client(s). 4) 1. PKSF 2. Investment Related - Yes 3. See office of employment address 4. Fixed Insurance/Annuity 5. Agent 6. 1/27/2023 7. 5 hrs 8. 5 hrs 9. Provide insurance advice based on the needs of client(s). 5) 1. Canfield Soccer Club 2. Investment Related - No 3. PO Box 73, Canfield, OH 44406 4. Board of Directors (Profit or Not for Profit Organization) 5. Board Member 6. 2/1/2017 7. 2 hrs 8. 0 hrs 9. Non-Profit entity promoting and organizing youth soccer in the community 6) 1. HBK Hermitage Realty, LLC 2. Investment Related - No 3. See office of employment address 4. Real Estate Rental / Commercial / Property / Management Services 5. Owner 6. 3/1/2020 7. 0 hrs 8. 0 hrs 9. Passive Owner 7) 1. HBK Meadville Realty 2. Investment Related - No 3. See office of employment address 4. Real Estate Rental / Commercial / Property / Management Services 5. Owner 6. 3/1/2020 7. 0 hrs 8. 0 hrs 9. Passive Owner 8) 1. HBK Erie Realty, LLC 2. Investment Related - No 3. See office of employment address 4. Real Estate Rental / Commercial / Property / Management Services 5. Owner 6. 3/1/2020 7. 0 hrs 8. 0 hrs 9. Passive Owner 9) 1. HBK Fort Myers Realty, LLC 2. Investment Related - No 3. See office of employment address 4. Real Estate Rental / Commercial / Property / Management Services 5. Owner 6. 3/1/2020 7. 0 hrs 8. 0 hrs 9. Passive Owner 10) 1. HBK Sorce Holdings, LLC 2. Investment Related - No 3. See office of employment address 4. Entity 5. Owner/Member 6. 01/2011 7. 0 hrs 8. 0 hrs. 9. Owner/Member 11)1. Purshe Kaplan Sterling Inv 2. Investment Related - Yes 3. See office of employment address 4. BD 5. Registered Rep 6. 03/2023 7. 25 hrs 8. 25 hrs 9. Producing Rep
CRS (Client Relationship Summary) - RIA
Click below to view Thomas J Taranto'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®
Start date: 2013
Experience
Current
February 15, 2011 - Present
HBKS WEALTH ADVISORS
Office #1: 6603 Summit Drive, Canfield, OH 44406RIA
CRD#: 112139
CANFIELD, OH
Current
March 8, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 6603 Summit Dr., Canfield, OH 44406BD
CRD#: 35747
Canfield, OH
Past
February 8, 2011 - January 5, 2021
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Canfield, OH
Past
March 19, 2008 - September 24, 2009
EDWARD JONES
RIA
CRD#: 250
COLUMBUS, OH
Past
February 25, 2008 - September 24, 2009
EDWARD JONES
BD
CRD#: 250
COLUMBUS, OH
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".
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(11/3/2023)
RR
California(11/3/2023)
RR
District of Columbia(8/15/2023)
RR
Florida(8/16/2023)
RR
Georgia(11/3/2023)
RR
Illinois(11/3/2023)
RR
Maryland(8/22/2023)
RR
Nevada(11/3/2023)
RR
New York(11/3/2023)
RR
North Carolina(11/3/2023)
IAR
Ohio(2/15/2011)
RR
Ohio(3/15/2023)
IAR
Pennsylvania(12/8/2015)
RR
Pennsylvania(11/3/2023)
IAR
Texas(12/8/2015)
RR
Texas(9/22/2023)
RR
Virginia(11/3/2023)
RR
Washington(8/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 3/8/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 12/5/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2725 Colonial Ave, Erie, PA 16506
Mailing Address
Phone number
(814) 836-5776
Established
Firm type
Fiscal year end
# of Employees
109
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,190 |
| AUM (Assets Under Management) | $ 7,661,939,874 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/28/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HBKS WEALTH ADVISORS
CRD#: 112139Canfield, OH 44406TRUST BUT VERIFY
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