Thomas J. Fanning

HERITAGE ADVISORY

Jupiter, FL

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CRD#: 5683053

Professional summary

Thomas Joseph Fanning Jr, who also goes by Thomas J Fanning Jr, Thomas J Fanning, Thomas Joseph Fanning Jr., Tom Fanning, Tom J. Fanning, Jr., Thomas Joseph Fanning, is a registered financial advisor currently at HERITAGE ADVISORY LLC located in Jupiter, Florida and SPIRE SECURITIES, LLC located in Mclean, Virginia.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Thomas has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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 Joseph Fanning Jr'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

April 14, 2026 - Present

HERITAGE ADVISORY LLC

Office #2: 135 Crossways Park Drive Suite 104, Woodbury, NY 11797

RIA

CRD#: 339886

Jupiter, FL

Current

February 10, 2026 - Present

SPIRE SECURITIES, LLC

Office #1: 7901 Jones Branch Dr. Suite 810, Mclean, VA 22102

CRD#: 144131

Mclean, VA

Past

February 25, 2026 - April 28, 2026

M HOLDINGS SECURITIES, INC.

CRD#: 43285

PORTLAND, OR

Past

February 23, 2026 - April 28, 2026

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

PORTLAND, OR

Past

February 5, 2018 - February 23, 2026

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

WOODBURY, NY

Past

January 25, 2018 - February 23, 2026

M HOLDINGS SECURITIES, INC.

CRD#: 43285

WOODBURY, NY

Past

September 28, 2016 - December 19, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

Woodbury, NY

Past

February 28, 2013 - October 6, 2014

M HOLDINGS SECURITIES, INC.

RIA

CRD#: 43285

WIIDBYRT, NY

Past

February 27, 2013 - October 6, 2014

M HOLDINGS SECURITIES, INC.

CRD#: 43285

WIIDBYRT, NY

Past

May 9, 2011 - August 31, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MELVILLE, NY

Past

January 27, 2011 - August 31, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MELVILLE, NY

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.

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

Arizona
(2/10/2026)

Colorado
(2/10/2026)

Connecticut
(2/10/2026)

Delaware
(2/10/2026)

Florida
(2/10/2026)

Georgia
(2/10/2026)

Maryland
(2/10/2026)

New Jersey
(2/10/2026)

New York
(2/10/2026)

IAR

New York
(4/14/2026)

North Carolina
(3/4/2026)

South Dakota
(2/10/2026)

Tennessee
(2/10/2026)

Vermont
(2/10/2026)

Virginia
(2/10/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/18/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/26/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HERITAGE ADVISORY LLC

CRD#: 339886 / SEC#:

New York

Registered Investment Advisory firm - (4/14/2026 Approved)

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Contact information

Main Address

135 Crossways Park Drive Suite 402, Woodbury, NY 11797

Mailing Address

Phone number

(212) 485-1536

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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 J. Fanning

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

HERITAGE ADVISORY LLC

SPIRE SECURITIES, LLC

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

MML INVESTORS SERVICES, LLC

M HOLDINGS SECURITIES, INC.

M HOLDINGS SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/18/2011

SIE

Date: 10/1/2018

Series 7

Date: 1/26/2011

FINRA

Current Firm

HERITAGE ADVISORY LLC

Contact information

Documents

Red Flags

Company Information

HERITAGE ADVISORY LLC

TRUST BUT VERIFY

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