Thomas M. Faherty

ARGENT RETIREMENT PLAN ADVISORS

OKLAHOMA CITY, OK 73102

Some features on this profile are disabled

CRD#: 7375218

Professional summary

Thomas Michael Faherty Jr., who also goes by Thomas Michael Faherty Jr., is a registered financial advisor currently at ARGENT RETIREMENT PLAN ADVISORS, LLC located in Oklahoma City, Oklahoma.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Thomas has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Michael Faherty Jr.

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.

Independent Insurance Agent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Faherty 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®

None

Experience

Current

June 22, 2021 - Present

ARGENT RETIREMENT PLAN ADVISORS, LLC

Office #1: 621 N. Robinson Suite 100, Oklahoma City, OK 73102Office #2: 201 St. Charles Ave. Suite 2420, New Orleans, LA 70170

RIA

CRD#: 165031

OKLAHOMA CITY, OK

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".

ARGENT RETIREMENT PLAN ADVISORS, LLC

CRD#: 165031 / SEC#: 801-78568

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

Oklahoma

Registered Investment Advisory firm - (9/23/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(6/22/2021)

IAR

Oklahoma
(11/6/2023)

IAR

Texas
(6/22/2021)

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 65

Date: 6/22/2021

Uniform Investment Adviser Law Examination

Current Firm

ARGENT RETIREMENT PLAN ADVISORS, LLC

CRD#: 165031 / SEC#: 801-78568

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

Oklahoma

Registered Investment Advisory firm - (9/23/2013 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

201 St. Charles Ave. Suite 2420, New Orleans, LA 70170

Mailing Address

Phone number

(381) 251-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PART 2 DISCLOSURE BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	49
AUM (Assets Under Management)	$ 651,910,127

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.

Similar Advisors

Trung Le

J.P. MORGAN SECURITIES LLC

IAR

Los Angeles, CA

Philippe Tann

MORGAN STANLEY & CO. LLC

NEW YORK, NY

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas M. Faherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Faherty Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

ARGENT RETIREMENT PLAN ADVISORS, LLC

Primary Firm SEC Registration

ARGENT RETIREMENT PLAN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/22/2021

Current Firm

ARGENT RETIREMENT PLAN ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARGENT RETIREMENT PLAN ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors