Thomas Edward Fay

Current Employers

Employment History

• 05/2003 → Present
  Usi Securities, Inc.
  Chicago, IL
• 05/2003 → Present
  Tfi Benefits, Inc.
  Chicago, IL
• 10/2015 → Present
  Valmark Securities, Inc.
  Akron, OH
• 11/2015 → Present
  Valmark Advisers, Inc.
  Akron, OH
• 01/2020 → Present
  Long Road Risk Management Services, Llc
  Akron, OH

Previous Registrations

• 2003-05-22 → 2015-11-24
  Usi Securities, Inc.
  Chicago, IL
  Glastonbury, CT
  Chicago, IL
  Chicago, IL
• 2001-05-25 → 2003-05-22
  Equity Services, Inc.
  Highwood, IL

Other Businesses

1) TFI BENEFITS, INC; 711 SPRUCE STREET, GLENVIEW IL 60025; INSURANCE SERVICES; PRESIDENT; START DATE: 05/2003; INSURANCE PRODUCER IDENTIFYING NEW BUSINESS AND INDIVIDUAL CLIENT RELATIONSHIPS, MAINTAINING AND ENHANCING EXISTING CLIENT RELATIONSHIPS, AND CONSISTENTLY GROWING MY PRACTICE ON A YEAR OVER YEAR BASIS; NUMBER OF HOURS PER MONTH: 40; NUMBER OF HRS/WEEK DURING TRADING HOURS: 10/// 2) HUNKEN FINANCIAL GROUP, 2550 COMPASS RD., SUITE H, GLENVIEW, IL 60026; FIXED INSURANCE BUSINESS; NOT INVESTMENT RELATED; INDEPENDENT AGENT; 5 HRS PER MONTH; MASSMUTUAL AND GUARDIAN LIFE INSURANCE PRODUCTS FOR POTENTIAL POLICY HOLDERS WHERE FAY ACTS AS SOLICITING AGENT FOR PROPOSED INSUREDS, FIXED LIFE, DIABILITY, LONG TERM CARE AND ANNUITY PRODUCTS WILL BE CONSIDERED, INDEPENDENT AGENT WHO WILL SEEK WHOLE LIFE INSURANCE SOLUTIONS FOR POTENTIAL CLIENTS; HUNKEN FINANCIAL GROUP, SCOTT AND CHRIS HUNKEN ARE GENERAL AGENTS FOR GUARDIAN LIFE INS CO ALSO HAVE MASS MUTUAL BROKERAGE CONTRACT THROUGH AGENCY IN NY; COMPENSATION WILL BE PAID TO STONEPOINT FINANCIAL GRP OR THOMAS FAY ON 1099 BASIS, COMMISSIONS FOR POLICY REPLACEMENTS. /// 3) MUSICAL BAND MEMBER; NON INVESTMENT RELATED; NO CLIENT INVOLVEMENT; NO HOURS DURING TRADING HOURS./// 4) LaSalle Benefits, 40 Skokie Blvd, Ste 240 Northbrook, IL 60062; Group Heath Insurance; not investment related; Client involvement; Meet with clients annual to renew policies along side a rep from LaSalle Benefits, Telephone calls with clients to maintain relationships, Email presentations prepared by LaSalle Benefits; 1-5 hours per month; Compensation is split between Stone Point and LaSalle Benefits for clients referred./// 5) Long Road Risk Management Services, LLC; Akron, OH; Managing Director; Insurance Sales; 20-40 hours/ month; investment related./// 6) Midland National, 8300 Mills Civic Parkway, W. Des Moines, IA 50266; Life Insurance Broker; NOT Investment Related; Start Date 2/1/2022; Approximately 1-5 hrs. per month; Paid commissions from cases./// 7) Ringler Associates Incorporated; Aliso Viejo, CA; settlements consultant; Referral Partner to Ringler; not investment related; start 9/2022; compensation is One time commission when referral results in placed business./// 8) TFI Planning Group, LLC; 2222 Chestnut Ave, Suite 305, Glenview, IL 60026; Sole Member; Advise and conduct ongoing performance reviews and monitoring of clients portfolios; YES Investment Related; Start Date 6/10/2019; I am the sole owner of this entity 100%. This was set up for tax purposes following the change in the law for Qualified Business Income; Approximately 40+ hrs. per month; Compensation is paid to me by Valmark Securities Inc, and included in my annual form 1099.

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-04-30
• S63 Uniform Securities Agent State Law Examination
  1993-10-01

Designations

Other Names

• Tom Fay