Thomas Falkner has held the title Member at Legacy Financial Independent Advisors since January 2025, is a control person of the firm and directly owns between 10% and 25% of it. Thomas Falkner holds a Bachelor of Science in Business Economics from the University of Louisville. Thomas Falkner studied BSBA in Finance at the University of Louisville.
Legacy Financial Independent Advisors LLC is a Louisville, KY firm with $484M under management, 749 clients and 5 advisers in one office, as of its March 2026 filing.
TC Falkner is Partner of Legacy Financial. When the firm was formed in January 2023, he moved with the team from First Kentucky Securities; previously he was a Private Wealth Advisor and a Planning & Investment Associate. He leads the research and development of the team's mutual fund and stock portfolios.
Thomas Falkner’s longest registration is the current one, 3 years at Legacy Financial Independent Advisors since 2023. Before joining Legacy Financial Independent Advisors in 2023, Thomas Falkner was registered through First Kentucky Securities Corp.
- – present · 3 yearsLouisville, KY · Adviser representative · Firm CRD 324258
- First Kentucky Securities Corp– · 2 yearsLouisville, KY · Adviser representative · Firm CRD 7524
Professional designations
Listed by Legacy Financial Independent Advisors
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Thomas Falkner is registered as an investment adviser representative in 2 states. The first approvals date from January 2023; the most recent is Texas, in February 2025.
- KentuckySince 24 January 2023
- TexasSince 13 February 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 19 July 2020 |
| Series 7TO | General Securities Representative Examination | 16 June 2020 |
| SIE | Securities Industry Essentials Examination | 12 May 2020 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Thomas Clifford Falkner
- CRD
- 6962277
- Firm
- Legacy Financial Independent Advisors · CRD 324258
- Role
- Member
- Office
- 100 MALLARD CREEK RD, SUITE 402, Louisville, KY 40207
- Registration
- Investment adviser registration
- In the industry since
- June 2020
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- legacyfia.com
Where does Thomas Falkner work?
Thomas Falkner has held the title Member at Legacy Financial Independent Advisors LLC since January 2025, and is a control person of the firm.
Is Thomas Falkner a financial advisor?
Yes. Thomas Falkner has a current investment-adviser registration in Kentucky and Texas, through Legacy Financial Independent Advisors since January 2023.
How many years of experience does Thomas Falkner have?
Thomas Falkner has 6 years in the financial industry, since June 2020, across 2 adviser firms.
What exams has Thomas Falkner passed?
Thomas Falkner has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in May 2020.
Where did Thomas Falkner work before Legacy Financial Independent Advisors?
Before Legacy Financial Independent Advisors, Thomas Falkner was registered through First Kentucky Securities Corp, July 2020 to January 2023.
Where is Thomas Falkner based?
Thomas Falkner’s registered office is in Louisville, KY.
Is Thomas Falkner registered with FINRA?
No. Thomas Falkner has no current broker registration.
Is Thomas Falkner a CFP?
Legacy Financial Independent Advisors lists Thomas Falkner with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Thomas Falkner’s record?
Search CRD 6962277 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Falkner’s full registration record.
