Thomas Connors, financial advisor Toms River NJ
41 score

Thomas Connors

CRD Number: 1081185
Current Firm: International Assets Investment Management, LLC

Thomas Connors (CRD# 1081185) is an Investment Advisor Representative working at International Assets Investment Management, LLC in Toms River, NJ and has over 32 years of experience in the finance industry. Thomas Connors 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.

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Professional Designations
Company Name Location Dates Years
International Assets Advisory, LLC Toms River, NJ Mar 2016 - Current < 1
First Allied Securities, Inc. San Diego, CA Sep 2012 - Mar 2016 3
Abel Toms River, NJ Jan 2012 - Jul 2012 < 1
Asset & Financial Planning Toms River, NJ Sep 2004 - Jul 2012 7
Gilman Ciocia, Inc. Toms River, NJ Sep 2004 - Jul 2012 7
Prime Capital Services, Inc. Toms River, NJ Sep 1993 - Jul 2012 18
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1984
Disclosure Information

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:
  • Employer Dispute
  • Customer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Thomas E. Connors
Phone Number: 407-254-1516
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    198
    MILLIONS
  • Total Number of Accounts
    1,014
    ACCOUNTS
  • Average Account Value
    $195,064
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States

AK, AZ, CA, CO, CT, DC, DE, FL, GA, ID, IL, IN, KY, LA, MA, MD, MI, MN, MO, NC, ND, NJ, NM, NY, OH, OK, OR, PA, SC, TN, TX, UT, VA, WA, WI, WV

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BADGES
41

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