Thomas DoerflerCRD Number: 5481675
Current Firm: Southwestern Investment Advisory Services, Inc.
Thomas Doerfler (CRD# 5481675) is an Investment Advisor Representative working at Southwestern Investment Advisory Services, Inc. in Franklin, TN and has over 9 years of experience in the finance industry. Thomas Doerfler has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Retirement Resources Management, LLC
Fifth Third Securities, Inc.
Quinn Stauffer Financial, LLC
|Lighhouse Wealth Management Team||Franklin, TN||Feb 2012 - Current||6|
|Raymond James Financial Services Advisors, Inc.||Franklin, TN||Nov 2010 - Current||7|
|Southwestern Investment Group||Franklin, TN||Sep 2010 - Current||7|
|Raymond James Financial Services||Franklin, TN||Oct 2008 - Current||9|
|Southwestern Investments||Franklin, TN||Jan 2008 - Current||10|
|Freelance Writer||Nashville, TN||Oct 2009 - Nov 2010||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Feb 2009|
Total Assets Under Management1,108MILLIONS
Total Number of Accounts4,645ACCOUNTS
Average Account Value$238,521
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV