Thomas J. Pignone

TURNING POINT FINANCIAL

Frederick, MD 21703

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CRD#: 801230

Professional summary

Thomas Joseph Pignone is a registered financial advisor currently at TURNING POINT FINANCIAL located in Frederick, Maryland.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 1 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Pignone'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®

None

Experience

Current

July 16, 2019 - Present

TURNING POINT FINANCIAL

Office #1: 7210 Corporate Ct. Ste A, Frederick, MD 21703

RIA

CRD#: 301282

Frederick, MD

Past

January 17, 2013 - July 23, 2019

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

FREDERICK, MD

Past

January 17, 2013 - July 23, 2019

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FREDERICK, MD

Past

September 22, 2005 - February 1, 2013

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

FREDERICK, MD

Past

September 14, 2005 - February 1, 2013

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

FREDERICK, MD

Past

August 8, 2003 - September 21, 2005

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

December 3, 1974 - August 11, 2003

THE HOUSE OF SECURITIES COMPANY

CRD#: 2236

FREDERICK, MD

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".

TURNING POINT FINANCIAL

TURNING POINT BENEFIT GROUP, INC. | TURNING POINT FINANCIAL

CRD#: 301282 / SEC#: 801-116895

RIA

Registered Investment Advisory firm - (7/3/2019 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

Maryland
(7/16/2019)

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: 9/21/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/13/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 11/12/1974

Registered Representative Examination

Current Firm

TURNING POINT FINANCIAL

TURNING POINT BENEFIT GROUP, INC. | TURNING POINT FINANCIAL

CRD#: 301282 / SEC#: 801-116895

RIA

Registered Investment Advisory firm - (7/3/2019 Approved)

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Contact information

Main Address

7210 Corporate Ct. Ste A, Frederick, MD 21703

Mailing Address

Phone number

(301) 846-9336

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- TURNING POINT FINANCIAL (3/17/2025)

Regulatory assets under management

Total Number of Accounts	2,659
AUM (Assets Under Management)	$ 383,146,200

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas J. Pignone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Pignone's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

SII INVESTMENTS, INC.

THE HOUSE OF SECURITIES COMPANY

Primary Firm SEC Registration

TURNING POINT FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/2005

Series 63

Date: 6/13/1988

SIE

Date: 10/1/2018

Series 1

Date: 11/12/1974

Current Firm

TURNING POINT FINANCIAL

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TURNING POINT FINANCIAL

TRUST BUT VERIFY

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