TS
Thomas R. Sylvester
NORTHEAST FINANCIAL GROUP
Allentown, PA 18104
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CRD#: 7447909
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Professional summary
Thomas Ronald Sylvester is a registered financial advisor currently at NORTHEAST FINANCIAL GROUP, INC. located in Allentown, Pennsylvania.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Thomas has worked at 1 firm and has passed the Series 65 and SIE exams.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Ronald Sylvester'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
May 22, 2023 - Present
NORTHEAST FINANCIAL GROUP, INC.
Office #1: 3435 Winchester Rd. Suite 102, Allentown, PA 18104RIA
CRD#: 122609
Allentown, PA
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".
NF
NORTHEAST FINANCIAL GROUP, INC.
NORTHEAST FINANCIAL GROUP, INC | NORTHEAST FINANCIAL GROUP,INC | NORTHEAST FINANCIAL GROUP, INC.
CRD#: 122609 / SEC#: 801-78187
RIA
Registered Investment Advisory firm - (6/14/2013 Approved)Maryland
Registered Investment Advisory firm - (8/12/2013 Terminated)New Jersey
Registered Investment Advisory firm - (6/26/2013 Terminated)New York
Registered Investment Advisory firm - (6/25/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/26/2013 Terminated)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
Pennsylvania(5/22/2023)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
NF
NORTHEAST FINANCIAL GROUP, INC.
NORTHEAST FINANCIAL GROUP, INC | NORTHEAST FINANCIAL GROUP,INC | NORTHEAST FINANCIAL GROUP, INC.
CRD#: 122609 / SEC#: 801-78187
RIA
Registered Investment Advisory firm - (6/14/2013 Approved)Maryland
Registered Investment Advisory firm - (8/12/2013 Terminated)New Jersey
Registered Investment Advisory firm - (6/26/2013 Terminated)New York
Registered Investment Advisory firm - (6/25/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/26/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3435 Winchester Road Suite 102, Allentown, PA 18104
Mailing Address
Phone number
(570) 688-9898
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,368 |
| AUM (Assets Under Management) | $ 1,205,206,195 |
Red Flags
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Company Information
NORTHEAST FINANCIAL GROUP, INC.
CRD#: 122609Allentown, PA 18104TRUST BUT VERIFY
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