Thomas R. Weinberger

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CRD#: 848197

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 Ray Weinberger was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1978. Thomas had worked at 5 firms and has passed the Series 7 and Series 24 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

April 24, 2012 - December 31, 2022

WEINBERGER ASSET MANAGEMENT, INC

RIA

CRD#: 106176

LOS ANGELES, CA

Past

March 9, 2002 - July 2, 2002

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

April 12, 1994 - March 9, 2002

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

January 11, 1988 - January 4, 1994

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

January 27, 1978 - January 12, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

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".

WEINBERGER ASSET MANAGEMENT, INC

CRD#: 106176 / SEC#: 801-113165

RIA

Registered Investment Advisory firm - (5/8/2018 Approved)

California

Registered Investment Advisory firm - (6/9/2018 Terminated)

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

General Industry/Product Exam

Series 7

Date: 1/21/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/27/1981

General Securities Principal Examination

Current Firm

WEINBERGER ASSET MANAGEMENT, INC

CRD#: 106176 / SEC#: 801-113165

RIA

Registered Investment Advisory firm - (5/8/2018 Approved)

California

Registered Investment Advisory firm - (6/9/2018 Terminated)

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Contact information

Main Address

10866 Wilshire Blvd Ste 830, Los Angeles, CA 90024

Mailing Address

Phone number

(310) 442-8472

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (5/1/2025)

Regulatory assets under management

Total Number of Accounts	566
AUM (Assets Under Management)	$ 443,858,787

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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Thomas R. Weinberger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEINBERGER ASSET MANAGEMENT, INC

RBC CAPITAL MARKETS, LLC

SUTRO & CO. INCORPORATED

CIBC WORLD MARKETS CORP.

L. F. ROTHSCHILD & CO. INCORPORATED

Primary Firm SEC Registration

WEINBERGER ASSET MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 7

Date: 1/21/1978

Series 24

Date: 4/27/1981

Current Firm

WEINBERGER ASSET MANAGEMENT, INC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEINBERGER ASSET MANAGEMENT, INC

TRUST BUT VERIFY

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