Thomas YorkeCRD Number: 1499991
Current Firm: Oceanic Capital Management LLC
Compensation Model: Fee Only
Thomas H Yorke (CRD# 1499991) is an Investment Advisor Representative working at Oceanic Capital Management LLC in Red Bank, NJ and has over 30 years of experience in the finance industry. Thomas Yorke 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 putclients' interests first and comply with the Financial Planning Practice Standards.
Prudential Financial Planning Services
Merrill Lynch, Pierce, Fenner & Smith Incorporated
|Sagepoint Fnancial||Phoenix, AZ||Jun 2015 - Current||5|
|Oceanic Capital Management LLC||Rumson, NJ||Dec 2007 - Current||13|
|Advisors Asset Management, Inc.||Monument, CO||Sep 2010 - Jul 2013||2|
|Refco Securities, LLC||New York, NY||Oct 1997 - Mar 2008||10|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1987|
|S65||NASAA Investment Advisors Law Examination||Mar 2008|
Total Assets Under Management34MILLIONS
Total Number of Accounts80ACCOUNTS
Average Account Value$423,705
- 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
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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