Thomas Tobias

MONEY COMPASS ADVISORS

Sonoma, CA

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CRD#: 5513921

Professional summary

Thomas Tobias, who also goes by Tom Tobias, is a registered financial advisor currently at MONEY COMPASS ADVISORS located in Sonoma, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Thomas has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Tobias

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 Tobias'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

November 5, 2020 - Present

MONEY COMPASS ADVISORS

RIA

CRD#: 310412

Sonoma, CA

Past

January 22, 2016 - August 20, 2020

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

ALVISO, CA

Past

May 8, 2008 - February 13, 2014

FISHER INVESTMENTS

RIA

CRD#: 107342

SAN MATEO, CA

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
(11/5/2020)

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: 5/7/2008

Uniform Investment Adviser Law Examination

Current Firm

MONEY COMPASS ADVISORS

MONEY COMPASS ADVISORS | MONEY COMPASS ADVISORS LLC

CRD#: 310412 / SEC#:

California

Registered Investment Advisory firm - (11/5/2020 Approved)

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Contact information

Main Address

Sonoma, CA

Mailing Address

Po Box 1242, Sonoma, CA 95476

Phone number

(707) 939-5032

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	35
AUM (Assets Under Management)	$ 7,522,255

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas Tobias

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MONEY COMPASS ADVISORS

TRANSAMERICA FINANCIAL ADVISORS, LLC

FISHER INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/2008

Current Firm

MONEY COMPASS ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MONEY COMPASS ADVISORS

TRUST BUT VERIFY

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