Unclaimed Profile

Thomas James Ealy

FINANCIAL PLANNING CONCEPTS OF AMERICA, INC.·WEST PALM BEACH, Florida

SIE, Series 7, Series 7TO, Series 24, Series 63, Series 6528 years registeredFINANCIAL PLANNING CONCEPTS OF AMERICA, INC.

340 COLUMBIA TURNPIKE, WEST PALM BEACH, FL 33409CRD# 863042Firm CRD# 126411

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas James Ealy · WEST PALM BEACH, FL

Registration

CRD #863042 · FINANCIAL PLANNING CONCEPTS OF AMERICA, INC. · 28 years registered

Brand Profile

Not yet started

Career History

CETERA INVESTMENT ADVISERS LLC

Mar 2023 – present

CETERA ADVISOR NETWORKS LLC

Aug 2019 – Jun 2023

CHAMPAIGN, IL

CETERA ADVISOR NETWORKS LLC

Jan 2019 – Feb 2019

CHAMPAIGN, IL

IPI WEALTH MANAGEMENT, INC.

Jan 1998 – Feb 2019

CHAMPAIGN, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 7TO

Series 24

Series 63

Series 65

Registration record

First registered · January 13, 1998

Years registered · 28

Disclosure History

2024Customer Dispute·Settled

2015Customer Dispute·Denied

2015Customer Dispute·Settled

2014Customer Dispute·Settled

1993Customer Dispute·Settled

1991Customer Dispute·Settled

9 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

FINANCIAL PLANNING CONCEPTS OF AMERICA, INC.

CRD 126411 · SEC 801-64150

AUM

$126M

Regulatory assets under management

Employees

254 client accounts

Services offered by FINANCIAL PLANNING CONCEPTS OF AMERICA, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at FINANCIAL PLANNING CONCEPTS OF AMERICA, INC. →

Introduction

Speak with Thomas

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Thomas is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in WEST PALM BEACH?

Browse all registered financial advisors in WEST PALM BEACH, Florida or claim this profile if it's yours.

Browse WEST PALM BEACH Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Thomas James Ealy offer?

Thomas James Ealy specializes in Financial Planning, Investment Management. Contact their office in WEST PALM BEACH, Florida for a consultation.

What are Thomas James Ealy's credentials?

Thomas James Ealy is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas James Ealy located?

Thomas James Ealy is based in WEST PALM BEACH, Florida, working with FINANCIAL PLANNING CONCEPTS OF AMERICA, INC.. Their office serves clients in the WEST PALM BEACH metropolitan area and surrounding communities.

How does Thomas James Ealy charge for services?

Thomas James Ealy's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FINANCIAL PLANNING CONCEPTS OF AMERICA, INC.?

FINANCIAL PLANNING CONCEPTS OF AMERICA, INC. has approximately 2 employees and manages $126M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →