Thomas Tolley has been Managing Member and CCO of Tolley Financial Group since April 2019, is a control person of the firm and directly owns 75% or more of it.
Tolley Financial Group, LLC is a Raleigh, NC firm with $122M under management, 192 clients and 1 adviser in one office, as of its August 2026 filing.
Thomas Tolley’s longest registration is the current one, 7 years at Tolley Financial Group since 2019. Before joining Tolley Financial Group in 2019, Thomas Tolley was registered through Copperleaf Capital, LLC and Ameriprise Financial Services, Inc.
- Tolley Financial Group, LLCCurrent– present · 7 yearsRaleigh, NC · Adviser representative · Firm CRD 302115
- Copperleaf Capital, LLC– · 5 yearsRaleigh, NC · Adviser representative · Firm CRD 117823
- Ameriprise Financial Services, Inc.– · 3 yearsSutton, WV · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Thomas Tolley is registered as an investment adviser representative in North Carolina, since September 2019.
- North CarolinaSince 3 September 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 28 February 2014 |
| Series 66 | Uniform Combined State Law Examination | 19 October 2006 |
| Series 7 | General Securities Representative Examination | 21 July 2006 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Jacob Tolley
- CRD
- 5107907
- Firm
- Tolley Financial Group · CRD 302115
- Role
- Managing Member and CCO
- Office
- 7101 CREEDMOOR ROAD, SUITE 123, Raleigh, NC 27613
- Registration
- Investment adviser registration
- In the industry since
- November 2010
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Tolley work?
Thomas Tolley has been Managing Member and CCO of Tolley Financial Group, LLC since April 2019, and is a control person of the firm.
Is Thomas Tolley a financial advisor?
Yes. Thomas Tolley has a current investment-adviser registration in North Carolina, through Tolley Financial Group since September 2019.
How many years of experience does Thomas Tolley have?
Thomas Tolley has 15 years in the financial industry, since November 2010, across 3 adviser firms.
What exams has Thomas Tolley passed?
Thomas Tolley has passed 3 licensing exams: the Series 7, Series 66 and Series 65. The earliest, the Series 7, was passed in July 2006.
Where did Thomas Tolley work before Tolley Financial Group?
Before Tolley Financial Group, Thomas Tolley was registered through Copperleaf Capital, LLC, February 2014 to August 2019; Ameriprise Financial Services, Inc., October 2006 to January 2010.
Where is Thomas Tolley based?
Thomas Tolley’s registered office is in Raleigh, NC.
Is Thomas Tolley registered with FINRA?
No. Thomas Tolley has no current broker registration.
How can I verify Thomas Tolley’s record?
Search CRD 5107907 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Tolley’s full registration record.