TD
Thomas J. Dingley
ALPHASTAR CAPITAL MANAGEMENT
Clifton Park, NY 12065
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CRD#: 5897266
TD
Professional summary
Thomas Joseph Dingley, ChFC® is a registered financial advisor currently at ALPHASTAR CAPITAL MANAGEMENT located in Clifton Park, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Thomas has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
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.
DBA TJD Financial Planning, beginning April 2018. Separately licensed as an independent insurance agent since 2011 and may be appointed with various insurance companies to provide insurance products and service to the Firm's clients. Devote approximately 10% of my professional time per month as insurance agent. 160 Hours at least for Investment Related business. 10 hours for Insurance business to include Life, Long Term Care, and Disability Insurance. I earn commissions for these activities. These insurance commissions are paid directly from the various insurance companies or agencies and may license with and not from Alphastar. The fee you pay Alphastar for advisory services are separate and distinct from commissions and non-cash compensation. The fee you pay Alphastar for advisory services are separate and distinct from commissions and non-cash compensation. Insurance business facilitated through our affiliate, Financial Independence Group ("FIG"), presents a conflict of interest because FIG will receive compensation directly from the insurance company for insurance services facilitated. The fee you pay Alphastar for advisory services are separate and distinct from the commissions and non-cash compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Dingley'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®
Experience
Current
April 2, 2021 - Present
ALPHASTAR CAPITAL MANAGEMENT
Office #1: 800 Route 146 Suite 385, Clifton Park, NY 12065RIA
CRD#: 157423
Clifton Park, NY
Past
December 19, 2017 - July 9, 2018
TSA MANAGEMENT INC
RIA
CRD#: 106440
Clifton Park, NY
Past
March 7, 2011 - July 9, 2018
HALLIDAY FINANCIAL, LLC
BD
CRD#: 31741
Clifton Park, NY
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".
AC
ALPHASTAR CAPITAL MANAGEMENT
ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC
CRD#: 157423 / SEC#: 801-72361
RIA
Registered Investment Advisory firm - (5/18/2011 Approved)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(5/4/2021)
IAR
New York(4/2/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AC
ALPHASTAR CAPITAL MANAGEMENT
ALPHASTAR CAPITAL MANAGEMENT | ALPHASTAR CAPITAL MANAGEMENT, LLC
CRD#: 157423 / SEC#: 801-72361
RIA
Registered Investment Advisory firm - (5/18/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
19600 West Catawba Avenue Suite B200, Cornelius, NC 28031
Mailing Address
Phone number
(855) 340-2514
Established
Firm type
Fiscal year end
# of Employees
124
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,592 |
| AUM (Assets Under Management) | $ 1,841,154,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2023 | ||
| 06/27/2023 | ||
| 01/24/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
