Thomas Michael Faherty Jr.
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Michael Faherty Jr.
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Contact Information
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Disclosures on record.
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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Years of Experience
5 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
ARGENT INSTITUTIONAL SERVICES | RBK CAPITAL, LLC | HERITAGE RETIREMENT PLAN ADVISORS, LLC | HERITAGE INSTITUTIONAL SERVICES, LLC | ARGENT RETIREMENT PLAN ADVISORS, LLC | ARGENT INSTITUTIONAL SERVICES, LLC
Contact Information
Main Address
201 St. Charles Ave. Suite 2420, New Orleans, LA 70170Phone Number
(381) 251-5800# of Employees
7SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
53AUM (Assets Under Management)
$683,140,774Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ARGENT INSTITUTIONAL SERVICES | RBK CAPITAL, LLC | HERITAGE RETIREMENT PLAN ADVISORS, LLC | HERITAGE INSTITUTIONAL SERVICES, LLC | ARGENT RETIREMENT PLAN ADVISORS, LLC | ARGENT INSTITUTIONAL SERVICES, LLC
State Registrations and Notice Filings
(6/22/2021)
(11/6/2023)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Michael Faherty Jr.'s CRS (Customer Relationship Summary).
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