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Thomas C Figgatt

Portolan Financial Planning LLC

Durham, NC

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Current Employers
Portolan Financial Planning Llc

Durham, NC • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2025-12-17
LA RA APPROVED 2018-02-22
  • NC RA
    APPROVED
    Since 2025-12-17
  • LA RA
    APPROVED
    Since 2018-02-22

Branch Locations

Durham, NC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Portolan Financial Planning, Llc New Orleans LA 11/2017 Present
None New Orleans LA 07/2017 11/2017
Bank Of America Charlotte NC 06/2015 07/2017
  • 11/2017 → Present
    Portolan Financial Planning, Llc
    New Orleans, LA
  • 07/2017 → 11/2017
    None
    New Orleans, LA
  • 06/2015 → 07/2017
    Bank Of America
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-10-31
  • S65 Uniform Investment Adviser Law Examination
    2017-10-31
Designations

View on SEC IAPD

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