TC
Thomas J. Curran
CURRAN WEALTH MANAGEMENT
ALBANY, NY 12207
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CRD#: 59035
TC
Professional summary
Thomas Joseph Curran is a registered financial advisor currently at CURRAN WEALTH MANAGEMENT located in Albany, New York and CIMAS, LLC located in Albany, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Thomas has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 7TO, SIE, Series 5, Series 15, PC, Series 1, Series 14, Series 24, Series 53 and Series 40 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.
C&W ENTERPRISES AND W&C ENTERPRISES. INVESTMENT RELATED. REAL ESTATE. OWNER OF BOTH. SINCE 1975. 1 HOUR PER MONTH. MR. CURRAN INVESTS IN COMMERCIAL REAL ESTATE ANDIS RESPONSIBLE FOR MAINTAINING THE PROPERTY, AND THE ACCOUNTS PAYABLES AND RECEIVEABLES ASSOCIATED WITH THESE PROPERTIES. Hippo Tax Services, LLC- Mr. Curran is the owner of this firm that prepares tax returns/provides tax advice. It currently has few clients and is generally only active during tax season. Insurance product sales- Mr. Curran is a licensed insurance agent and occasionally sells insurance products. Generally only a few policies are sold in a year. Beachside Leasing LLC - Mr. Curran is the sole member of this NYS registered LLC that purchases vehicles and leases them to businesses. This is a NON-investment related activity. Only a few hours per month will be spent on this business.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Curran'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®
NoneExperience
Current
November 12, 2004 - Present
CURRAN WEALTH MANAGEMENT
Office #1: 30 S. Pearl Street 9th Floor, Albany, NY, 12207Office #2: 621 Lafayette Street, Cape May, NJ 08204RIA
CRD#: 132136
ALBANY, NY
Current
November 2, 2004 - Present
CIMAS, LLC
Office #1: 30 South Pearl Street 9th Floor, Albany, NY, 12207Office #2: 30 S. Pearl Street 9th Floor, Albany, NY, 12207BD
CRD#: 132263
ALBANY, NY
Past
August 5, 2000 - December 13, 2004
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ALBANY, NY
Past
August 5, 2000 - December 13, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 28, 1973 - August 5, 2000
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
September 11, 1970 - November 1, 1973
HAYDEN STONE INC.
BD
CRD#: 6567
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".
CW
CURRAN WEALTH MANAGEMENT
CIM, LLC | CURRAN WEALTH MANAGEMENT | CURRAN INVESTMENT MANAGEMENT
CRD#: 132136 / SEC#: 801-63553
RIA
Registered Investment Advisory firm - (10/13/2004 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.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
Arizona(11/30/2022)
RR
California(1/8/2019)
RR
Florida(11/1/2006)
IAR
New Jersey(11/12/2004)
RR
New York(11/12/2004)
IAR
New York(8/31/2021)
IAR
Texas(5/19/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 9/11/1993
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 15
Date: 6/5/1993
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 9/6/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 5/13/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 3/21/1978
Registered Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
CW
CURRAN WEALTH MANAGEMENT
CIM, LLC | CURRAN WEALTH MANAGEMENT | CURRAN INVESTMENT MANAGEMENT
CRD#: 132136 / SEC#: 801-63553
RIA
Registered Investment Advisory firm - (10/13/2004 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30 S. Pearl Street 9th Floor, Albany, NY, 12207
Mailing Address
Phone number
(518) 391-4200
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 994 |
| AUM (Assets Under Management) | $ 751,123,641 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
