Thomas A. Whitnah

360 FINANCIAL

Wayzata, MN 55391

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CRD#: 856715

Professional summary

Thomas Arden Whitnah, who also goes by Tom Whitnah, is a registered financial advisor currently at 360 FINANCIAL located in Wayzata, Minnesota and LPL FINANCIAL LLC located in Wayzata, Minnesota.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Thomas has worked at 6 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Whitnah

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) 08/30/2013: 360 FINANCIAL - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - 100% OF TIME SPENT (2) 09/09/2013: 360 FINANCIAL - INV REL - AT REPORTED BUSIENSS LOCATION(S) - REGISTERED INVESTMENT ADVISOR: (HYBRID) 360 FINANCIAL - 100% OF TIME SPENT - INVESTMENT ADVISER REPRESENTATIVE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Arden Whitnah'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

August 30, 2013 - Present

360 FINANCIAL

Office #1: 849 Lake Street East, Wayzata, MN 55391

RIA

CRD#: 168600

Wayzata, MN

Current

August 30, 2013 - Present

LPL FINANCIAL LLC

Office #1: 849 Lake Street East, Wayzata, MN 55391

RIA

CRD#: 6413

Wayzata, MN

Past

January 3, 2011 - August 30, 2013

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

MINNEAPOLIS, MN

Past

June 1, 2009 - January 12, 2011

MORGAN STANLEY

RIA

CRD#: 149777

WAYZATA, MN

Past

June 1, 2009 - January 12, 2011

MORGAN STANLEY

CRD#: 149777

WAYZATA, MN

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

WAYZATA, MN

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

WAYZATA, MN

Past

September 22, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WAYZATA, MN

Past

September 1, 1978 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

WAYZATA, MN

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".

360 FINANCIAL

360 FINANCIAL | 360 FINANCIAL, INC.

CRD#: 168600 / SEC#: 801-78425

RIA

Registered Investment Advisory firm - (8/30/2013 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.

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

California
(8/30/2013)

Colorado
(10/23/2019)

Illinois
(8/30/2013)

Indiana
(4/28/2017)

Minnesota
(8/30/2013)

IAR

Minnesota
(10/20/2023)

IAR

Texas
(8/30/2013)

Texas
(6/8/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/4/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/16/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/19/1978

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

360 FINANCIAL

360 FINANCIAL | 360 FINANCIAL, INC.

CRD#: 168600 / SEC#: 801-78425

RIA

Registered Investment Advisory firm - (8/30/2013 Approved)

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Contact information

Main Address

849 Lake Street East, Wayzata, MN 55391

Mailing Address

Phone number

(952) 542-8900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,940
AUM (Assets Under Management)	$ 567,566,550

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Thomas A. Whitnah

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Arden Whitnah's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

COMMONWEALTH FINANCIAL NETWORK

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

360 FINANCIAL

State Registrations and Notice Filings

Exams

Series 63

Date: 3/4/1980

SIE

Date: 10/1/2018

Series 31

Date: 6/16/1993

Series 7

Date: 8/19/1978

FINRA

Current Firm

360 FINANCIAL

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

360 FINANCIAL

TRUST BUT VERIFY

Contact information

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