Best Investors
Account
Sign in
Best Investors
Account
Sign in
Thames Financial Management CRD 126295
$315M regulatory AUM 4 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
457 West Main Street, Norwich, CT 06360 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2020-05-20 |
| RI | RA | APPROVED | 2020-04-24 |
| TX | RA | APPROVED | 2020-04-24 |
| FL | RA | APPROVED | 2018-10-31 |
| CT | RA | APPROVED | 2018-09-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Manhattan Co. | New York | NY | 06/2011 | 06/2018 |
| Thames Financial Management | Norwich | CT | 09/2018 | Present |
Owner/operator of Preston Ridge Vineyard, which is a farm winery. It is not investment related. I have owned the property since February 2018. I spend 10 hours/month on the business, none during trading hours. My time is predominantly on paying bills and managing the finances.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2000-11-21 |
Reach out to this advisor