Thomas Joseph Fanning

Employer firm

Heritage Advisory LLC CRD 339886

Reported services (Item 5G)

• Financial planning

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2011 → Present
  Heritage Strategies, Llc
  Woodbury, NY
• 10/2014 → 01/2018
  Mass Mutual Life Insurance Company
  Woodbury, NY
• 09/2016 → 12/2017
  Mml Investors Services
  Woodbury, NY
• 01/2018 → Present
  M Holdings Securities
  Portland, OR
• 02/2026 → Present
  Spire Securities, Llc
  Mclean, VA
• 02/2026 → Present
  Heritage Advisory Llc
  Woodbury, NY

Previous Registrations

• 2026-02-23 → 2026-04-28
  M Holdings Securities, Inc.
  Woodbury, NY
  Portland, OR
  Portland, OR
• 2018-02-05 → 2026-02-23
  M Holdings Securities, Inc.
  Woodbury, NY
  Portland, OR
  Jupiter, FL
• 2013-02-28 → 2014-10-06
  M Holdings Securities, Inc.
  Woodbury, NY
  Portland, OR
  Woodbury, NY
• 2011-05-09 → 2011-08-31
  Ubs Financial Services Inc.
  Melville, NY

Other Businesses

1) HERITAGE STRATEGIES, LLC; 135 CROSSWAYS PARK DRIVE, SUITE 402, WOODBURY, NY 11797; JANUARY 2018; PARTNER; ESTATE, BUSINESS SUCCESSION AND LIFE INSURANCE; INVEST RELATED; LIFE INSURANCE, OTHER HERITAGE PARTNERS/MARKETERS; 240 HOURS/MONTH, 240 HOURS/MONTH DURING BUSINESS HOURS. 2) HERITAGE BENEFIT SOLUTIONS; 135 CROSSWAYS PARK DRIVE, SUITE 402, WOODBURY, NY 11797; 04/17/2020; PARTNER; HEALTH INSURANCE; INVESTMENT RELATED; 25 HOURS/MONTH; 25 HOURS/MONTH DURING BUSINESS HOURS. 3) NYPBT; 6 EAST 43RD STREET NEW YORK, NY 10017; BANKING/INVESTMENTS; INVESTMENT RELATED; REFERRAL SOURCE; REFERRING BUSINESS TO NYPBT; 1/1/2024; 1 HOUR PER MONTH; 1 HOUR PER MONTH DURING TRADING HOURS. 4) DFHS LLC; 135 CROSSWAYS PARK DR, SUITE 402, WOODBURY NY 11797; INSURANCE/INVESTMENTS; INVESTMENT RELATED; CO-MANAGING MEMBER; REFERRALS AND JOINT WORK AGREEMENT FOR INSURANCE; 10/1/2024; 2 HOURS PER MONTH, 2 HOURS PER MONTH DURING TRADING HOURS. 5) THE RIDGEBACK GROUP LLC; 222 SOUTH CHURCH ST., SUITE 407, CHARLOTTE NC 28202; FIXED LIFE INSURANCE; INVESTMENT RELATED; INDEPENDENT CONTRACTOR; SELLING FIXED LIFE INSURANCE POLICIES; 03/14/2025; 5 HR/MO; 5 HR/MO DURING TRADING HOURS.

Exams

• S66 Uniform Combined State Law Examination
  2011-02-18

Other Names

• Thomas J Fanning
• Thomas J Fanning
• Thomas Joseph Fanning
• Tom J. Fanning, Jr.
• Tom Fanning
• Thomas Joseph Fanning
• Thomas Joseph Fanning