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Thomas Edward Finley

Investment Adviser Representative at WAVERLY ADVISORS, LLC

Cincinnati, OHCRD #3258696Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
27 yrs
States Registered
1 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Ohio
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 8/26/2004
Series 7
General Securities Representative Examination
Passed 1/11/2024
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/2/1999
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/11/2024
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/11/2024

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Waverly Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

WAVERLY ADVISORS, LLCCurrent
10/22/2024Cincinnati, OH
9258 WEALTH MANAGEMENT, LLC
1/4/202112/2/2024Blue Ash, OH
HUNTINGTON FINANCIAL ADVISORS
9/27/201810/6/2020Columbus, OH
PNC INVESTMENTS
2/26/201810/5/2018Beavercreek, OH
MORGAN STANLEY
6/1/20092/1/2018Beavercreek, OH
MORGAN STANLEY & CO. INCORPORATED
4/2/20076/1/2009Cincinnati, OH
MORGAN STANLEY
1/18/20054/2/2007Centerville, OH

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Edward Finley has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Thomas Edward Finley - Financial Advisor in Cincinnati, OH | AdvisorFinder