Thomas C. Figgatt

PORTOLAN FINANCIAL PLANNING LLC

Durham, NC

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CRD#: 6887506

Professional summary

Thomas C Figgatt Jr., CFP® is a registered financial advisor currently at PORTOLAN FINANCIAL PLANNING LLC located in Durham, North Carolina.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Thomas has worked at 1 firm and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas C Figgatt 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^®

Certified Financial Planner

Start date: 2020

Experience

Current

February 22, 2018 - Present

PORTOLAN FINANCIAL PLANNING LLC

RIA

CRD#: 291370

Durham, NC

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

Louisiana
(2/22/2018)

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Exams

State Security Law Exam

IAR

Series 65

Date: 10/31/2017

Uniform Investment Adviser Law Examination

Current Firm

PORTOLAN FINANCIAL PLANNING LLC

CRD#: 291370 / SEC#:

Louisiana

Registered Investment Advisory firm - (2/22/2018 Approved)

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Contact information

Main Address

Durham, NC

Mailing Address

Phone number

(203) 482-8004

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	90
AUM (Assets Under Management)	$ 6,885,074

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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Thomas C. Figgatt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas C Figgatt Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

PORTOLAN FINANCIAL PLANNING LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/31/2017

Current Firm

PORTOLAN FINANCIAL PLANNING LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PORTOLAN FINANCIAL PLANNING LLC

TRUST BUT VERIFY

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