Thomas N. Harber

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CRD#: 843968

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Norton Harber was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1977. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 9, 2014 - January 5, 2018

COPPER FINANCIAL

RIA

CRD#: 168203

Blue Springs, MO

Past

May 21, 2014 - January 5, 2018

COPPER FINANCIAL

CRD#: 168203

Blue Springs, MO

Past

October 2, 2007 - May 20, 2014

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

BLUE SPRINGS, MO

Past

October 2, 2007 - May 20, 2014

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

BLUE SPRINGS, MO

Past

July 23, 2001 - November 5, 2007

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

BLUE SPRINGS, MO

Past

June 7, 2001 - November 5, 2007

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

BLUE SPRINGS, MO

Past

March 6, 1992 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

March 6, 1992 - June 14, 2001

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

October 20, 1980 - February 19, 1992

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

October 5, 1977 - February 19, 1992

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

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".

COPPER FINANCIAL

COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL

CRD#: 168203 / SEC#: 801-89168, 8-69295

RIA

Registered Investment Advisory firm - SEC (4/30/2015 Approved)

California

Registered Investment Advisory firm - SEC (7/2/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (6/6/2014 Terminated)

Iowa

Registered Investment Advisory firm - SEC (6/5/2014 Terminated)

Kansas

Registered Investment Advisory firm - SEC (6/2/2015 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/5/2014 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/5/2014 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/2/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/3/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/26/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/5/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 9/23/1977

Registered Representative Examination

Current Firm

COPPER FINANCIAL

COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL

CRD#: 168203 / SEC#: 801-89168, 8-69295

RIA

Registered Investment Advisory firm - SEC (4/30/2015 Approved)

California

Registered Investment Advisory firm - SEC (7/2/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (6/6/2014 Terminated)

Iowa

Registered Investment Advisory firm - SEC (6/5/2014 Terminated)

Kansas

Registered Investment Advisory firm - SEC (6/2/2015 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/5/2014 Terminated)

Ohio

Registered Investment Advisory firm - SEC (6/5/2014 Terminated)

Texas

Registered Investment Advisory firm - SEC (6/2/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

9777 Ridge Dr., Suite 360, Lenexa, KS 66219

Mailing Address

9777 Ridge Dr., Suite 360, Lenexa, KS 66219

Phone number

(913) 905-8116

Established

Missouri since 11/05/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (29 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

AAMP WRAP FEE PROGRAM BROCHURE (FORM ADV PART 2A APPENDIX 1) (5/29/2025)

GUIDED INVESTING WRAP FEE PROGRAM BROCHURE (FORM ADV PART 2A APPENDIX 1) (3/31/2025)

FIRM BROCHURE (FORM ADV PART 2A) (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
COMMUNITYAMERICA CUSO ONE LLC	SHAREHOLDER
CHRISTIAN, TRACY	ELECTED MANAGER	7678129
DEHNER, MICHAEL JAMES	FINANCIAL OPERATIONS PRINCIPAL	7334680
GINTER, LISA ROSELLE	ELECTED MANAGER	6482083
HAGGERTY, MICHAEL PATRICK	PRESIDENT, CHIEF COMPLIANCE OFFICER	3172920
KROPP, STEPHEN DALE	ELECTED MANAGER	7337607
PATRICK, MICHAEL ALAN	ELECTED MANAGER	6482087
SARACINI, TIMOTHY RICE	ELECTED MANAGER	1303842

Regulatory assets under management

Total Number of Accounts	4,082
AUM (Assets Under Management)	$ 346,070,238

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.

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Firm Stability Insights

Thomas N. Harber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COPPER FINANCIAL

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

Primary Firm SEC Registration

COPPER FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 11/3/1997

Series 63

Date: 1/26/1984

SIE

Date: 1/5/2018

Series 7

Date: 8/16/1986

Series 1

Date: 9/23/1977

Current Firm

COPPER FINANCIAL

Contact information

SEC notice filing (29 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

COPPER FINANCIAL

TRUST BUT VERIFY

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