TE
Thomas M. Ervin
DIVERSIFIED
WILMINGTON, DE 19803
Some features on this profile are disabled
CRD#: 5997302
TE
Professional summary
Thomas Michael Ervin JR, CFP®, who also goes by Thomas M Ervin, Tom Ervin, is a registered financial advisor currently at DIVERSIFIED, LLC located in Wilmington, Delaware and PURSHE KAPLAN STERLING INVESTMENTS located in Northhampton, Massachusetts.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Thomas has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas M Ervin | Tom Ervin
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) Diversified, LLC - At Registered Branch Location - 10/2011 -6/2013 Intern; 6/2013 Senior Associate Planner 1/2023 Investment Adviser Representative - Investment Related - RIA - Financial Planning - Assist in Financial Planning - LLC - 160 hrs/mo- 160 hrs/mo 2) Purshe Kaplan Sterling Investments - At Registered Branch Location - 8/2020 Registered Representative - Investment Related - Broker Dealer - Service broker/dealer business with clients - 6 hrs/mo- 2 hrs/mo trading 3) 01/2014 Independent Licensed insurance Agent; Investment Related; PA; Accident and health, life and fixed annuities, variable life/variable annuity
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Michael Ervin 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®
CFP®
Start date: 2022
Experience
Current
August 5, 2024 - Present
DIVERSIFIED, LLC
Office #1: 3705 Concord Pike, Wilmington, DE 19803RIA
CRD#: 331709
WILMINGTON, DE
Current
August 28, 2020 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 150 Main Street; Suite 310 Mailbox 25, Northhampton, MA 01060Office #2: 3705 Concord Pike, Wilmington, DE 19803BD
CRD#: 35747
Northhampton, MA
Past
January 26, 2023 - November 4, 2024
DIVERSIFIED, LLC
RIA
CRD#: 123859
WILMINGTON, DE
Past
May 9, 2014 - July 16, 2020
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
WILMINGTON, DE
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".
DL
DIVERSIFIED, LLC
DIVERSIFIED ENTERPRISES, LLC | DIVERSIFIED, LLC
CRD#: 331709 / SEC#: 801-130728
RIA
Registered Investment Advisory firm - (8/5/2024 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
Alabama(5/30/2023)
RR
Arizona(9/27/2021)
RR
California(7/28/2022)
RR
Connecticut(10/10/2024)
RR
Delaware(8/28/2020)
IAR
Delaware(8/5/2024)
RR
Florida(9/27/2021)
RR
Georgia(9/27/2021)
RR
Hawaii(11/7/2025)
RR
Illinois(10/18/2023)
RR
Indiana(10/18/2023)
RR
Maine(10/18/2023)
RR
Maryland(9/27/2021)
RR
Massachusetts(9/27/2021)
RR
Michigan(9/27/2021)
RR
Minnesota(11/7/2025)
RR
Mississippi(10/10/2024)
RR
New Hampshire(10/18/2023)
RR
New Jersey(9/27/2021)
RR
New Mexico(11/7/2025)
RR
New York(9/27/2021)
RR
North Carolina(9/27/2021)
RR
Ohio(10/18/2023)
RR
Oklahoma(11/11/2021)
RR
Pennsylvania(8/28/2020)
IAR
Pennsylvania(8/5/2024)
RR
Rhode Island(2/5/2024)
RR
South Carolina(9/27/2021)
RR
South Dakota(11/1/2024)
RR
Tennessee(9/27/2021)
RR
Texas(8/22/2022)
RR
Vermont(2/5/2024)
RR
Virginia(9/27/2021)
RR
Washington(9/27/2021)
RR
Wisconsin(10/18/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DL
DIVERSIFIED, LLC
DIVERSIFIED ENTERPRISES, LLC | DIVERSIFIED, LLC
CRD#: 331709 / SEC#: 801-130728
RIA
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Contact information
Main Address
3705 Concord Pike, Wilmington, DE 19803
Mailing Address
Phone number
(302) 765-3500
Established
Firm type
Fiscal year end
# of Employees
45
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,494 |
| AUM (Assets Under Management) | $ 2,080,500,590 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
