Thomas PovinelliCRD Number: 1326492
Current Firm: Royal Alliance Associates, Inc.
Thomas Povinelli (CRD# 1326492) is an Investment Advisor Representative working at Royal Alliance Associates, Inc. in Old Greenwich, CT and has over 31 years of experience in the finance industry.
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|Royal Alliance Associates, Inc.||White Plains, NY||Jan 2005 - Current||13|
|Pinnacle Taxx Inc.||White Plains, NY||Oct 2002 - Current||15|
|Aig Bank||Old Greenwich, CT||Oct 2005 - Jun 2009||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1986|
|S66||NASAA Uniform Combined State Law Examination||Jun 2006|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
- Regulatory Event
Total Assets Under Management5,420MILLIONS
Total Number of Accounts22,069ACCOUNTS
Average Account Value$245,585
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY