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Thomas J. Finneran
FIRST COMMAND ADVISORY SERVICES
Colorado Springs, CO
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CRD#: 7383635
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Professional summary
Thomas Joseph Finneran, who also goes by Tom Finneran, is a registered financial advisor currently at FIRST COMMAND ADVISORY SERVICES located in Colorado Springs, Colorado and FIRST COMMAND BROKERAGE SERVICES, INC. located in Colorado Springs, Colorado.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. 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
Tom Finneran
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) Name: Aquila Gin Investment-related: No Address: 7023 Gardenstone Drive Colorado Springs, CO 80922-2357 Nature of the other business: Owner/Sole/Partner Your position: Co-owner Start date: 08/01/20 The approximate number of hours/month you devote to the other business: 1 to 5 During securities trading hours: None Description of duties:The company (my wife and I as co-owners) make homemade craft gin. We then bottle the gin in small taster bottles to include in a Gin Advent Calendar and sell them to friends. 2) Name: Business in Name of Thomas Finner Investment-related: No Address: 7023 Gardenstone Drive Colorado Springs, CO 80922-2357 Nature of the other business: Owner/Sole/Partner Your position: Author of Published E-Book Start date: 05/01/14 The approximate number of hours/month you devote to the other business: 1 to 5 During securities trading hours: None Description of duties: I wrote an E-Book in May 2014 and still pay yearly expenses to have the book available for sale online.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Finneran'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®
NoneExperience
Current
November 3, 2021 - Present
FIRST COMMAND ADVISORY SERVICES
Office #2: 615 Wooten Rd. Suite 130 80915, CO, 80915RIA
CRD#: 281958
Colorado Springs, CO
Current
September 14, 2021 - Present
FIRST COMMAND BROKERAGE SERVICES, INC.
Office #1: 615 Wooten Road Suite 130, Colorado Springs, CO 80915BD
CRD#: 3641
Colorado Springs, CO
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".
FC
FIRST COMMAND ADVISORY SERVICES
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
RIA
Registered Investment Advisory firm - (7/28/2005 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
Colorado(11/3/2021)
IAR
Colorado(11/3/2021)
RR
Florida(9/6/2022)
RR
Georgia(1/27/2023)
RR
Illinois(1/10/2024)
RR
Indiana(9/6/2022)
RR
Michigan(1/15/2024)
RR
Missouri(12/9/2022)
RR
New Jersey(10/19/2023)
RR
North Carolina(6/27/2023)
RR
Texas(6/27/2023)
IAR
Texas(6/27/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/14/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FIRST COMMAND ADVISORY SERVICES
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
RIA
Registered Investment Advisory firm - (7/28/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1 Firstcomm Plaza, Fort Worth, TX 76109
Mailing Address
Po Box 2387, Fort Worth, TX 76113-2387
Phone number
(817) 731-8621
Established
Firm type
Fiscal year end
# of Employees
1,787
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
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.
