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Thomas Edward Finley

Waverly Advisors, LLC

Birmingham, AL

Cincinnati, OH

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Current Employers
Waverly Advisors, Llc

600 University Park Place Suite 501, Birmingham, AL 35209 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2024-10-22
  • OH RA
    APPROVED
    Since 2024-10-22

Branch Locations

600 University Park Place Suite 501, Birmingham, AL 35209 • United States

4420 Cooper Road, Cincinnati, OH 45242 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Cincinnati OH 06/2009 01/2018
Morgan Stanley Private Bank, National Association New York NY 01/2015 01/2018
Pnc Investments Pittsburgh PA 01/2018 09/2018
Pnc Bank Beavercreek OH 01/2018 09/2018
The Huntington Investment Company Columbus OH 09/2018 10/2020
9258 Wealth Management Cincinnati OH 12/2020 12/2024
Waverly Advisors, Llc Cincinnati OH 10/2024 Present
  • 06/2009 → 01/2018
    Morgan Stanley Smith Barney
    Cincinnati, OH
  • 01/2015 → 01/2018
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 01/2018 → 09/2018
    Pnc Investments
    Pittsburgh, PA
  • 01/2018 → 09/2018
    Pnc Bank
    Beavercreek, OH
  • 09/2018 → 10/2020
    The Huntington Investment Company
    Columbus, OH
  • 12/2020 → 12/2024
    9258 Wealth Management
    Cincinnati, OH
  • 10/2024 → Present
    Waverly Advisors, Llc
    Cincinnati, OH
Previous Registrations
  • 2021-01-04 → 2024-12-02
    9258 Wealth Management, Llc
    Blue Ash, OH
  • 2018-09-27 → 2020-10-06
    The Huntington Investment Company
    Columbus, OH
  • 2018-02-26 → 2018-10-05
    Pnc Wealth Management Llc
    Beavercreek, OH
  • 2009-06-01 → 2018-02-01
    Morgan Stanley
    Cincinnati, OH
    Beavercreek, OH
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Beavercreek, OH
    Cincinnati, OH
    Centerville, OH
  • 2005-01-18 → 2007-04-02
    Morgan Stanley Dw Inc.
    Centerville, OH
    Centerville, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-26
  • S66 Uniform Combined State Law Examination
    2004-08-26

View on SEC IAPD

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