Thomas C. Falkner

LEGACY FINANCIAL INDEPENDENT ADVISORS LLC

Louisville, KY 40207

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CRD#: 6962277

Professional summary

Thomas Clifford Falkner, CFP®, who also goes by Tc Falkner, is a registered financial advisor currently at LEGACY FINANCIAL INDEPENDENT ADVISORS LLC located in Louisville, Kentucky.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Thomas has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tc Falkner

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) Southeast Christian Church coach on financial concepts such as budgeting and emergency funds. (2) Ad-Rack, Inc. 12700 Townepark Way #201, Louisville, KY 40243. Distribution services, board member/President, non-investment related.. Start date 11/26/24. Spent approximately 4-8 hours a month during trading hours on this activity. (2) Falkner Wealth Management LLC Owner/consulting/advising 10% owner in Legacy Financial 1 hour a month Start Date: 01/2025

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Clifford Falkner's CRS (Customer Relationship Summary).

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: 2021

Experience

Current

January 24, 2023 - Present

LEGACY FINANCIAL INDEPENDENT ADVISORS LLC

Office #1: 100 Mallard Creek Rd Suite 402, Louisville, KY 40207

RIA

CRD#: 324258

Louisville, KY

Past

July 20, 2020 - January 13, 2023

FIRST KENTUCKY SECURITIES CORPORATION

RIA

CRD#: 7524

LOUISVILLE, KY

Past

June 16, 2020 - January 13, 2023

FIRST KENTUCKY SECURITIES CORPORATION

CRD#: 7524

LOUISVILLE, KY

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".

LEGACY FINANCIAL INDEPENDENT ADVISORS LLC

LEGACY FINANCIAL | LEGACY FINANCIAL INDEPENDENT ADVISORS LLC

CRD#: 324258 / SEC#: 801-127031

RIA

Registered Investment Advisory firm - (3/15/2023 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

Kentucky
(1/24/2023)

IAR

Texas
(2/13/2025)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/19/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/16/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/12/2020

Securities Industry Essentials Examination

Current Firm

LEGACY FINANCIAL INDEPENDENT ADVISORS LLC

LEGACY FINANCIAL | LEGACY FINANCIAL INDEPENDENT ADVISORS LLC

CRD#: 324258 / SEC#: 801-127031

RIA

Registered Investment Advisory firm - (3/15/2023 Approved)

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Contact information

Main Address

100 Mallard Creek Rd Suite 402, Louisville, KY 40207

Mailing Address

Phone number

(502) 873-0522

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LFIA DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (9/22/2025)

Regulatory assets under management

Total Number of Accounts	2,503
AUM (Assets Under Management)	$ 450,605,476

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. Falkner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Clifford Falkner's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGACY FINANCIAL INDEPENDENT ADVISORS LLC

FIRST KENTUCKY SECURITIES CORPORATION

FIRST KENTUCKY SECURITIES CORPORATION

Primary Firm SEC Registration

LEGACY FINANCIAL INDEPENDENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/19/2020

Series 7TO

Date: 6/16/2020

SIE

Date: 5/12/2020

Current Firm

LEGACY FINANCIAL INDEPENDENT ADVISORS LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY FINANCIAL INDEPENDENT ADVISORS LLC

TRUST BUT VERIFY

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