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RIA / WealthAdvisor22 years in industry

THOMAS EDWARD FINLEY

Advisor at WAVERLY ADVISORS, LLC

CINCINNATI, OH | BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:d3fabb2a-0c55-7d9f-c8e8-72c87510c2de

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jan 18, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WAVERLY ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 26, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 26, 2004
First registration: Jan 18, 2005
Dual registered: no
IAPD individual key: 3258696

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WAVERLY ADVISORS, LLC	Independent wealth	Oct 22, 2024	n/a	yes	BIRMINGHAM, AL\|CINCINNATI, OH	Current employment
9258 WEALTH MANAGEMENT, LLC	Former SEC adviser	Jan 4, 2021	Dec 2, 2024	no	BLUE ASH, OH	Previous registration
HUNTINGTON FINANCIAL ADVISORS	Bd affiliated wealth	Sep 27, 2018	Oct 6, 2020	no	COLUMBUS, OH	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Feb 26, 2018	Oct 5, 2018	no	BEAVERCREEK, OH	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 1, 2018	no	Cincinnati, OH\|Beavercreek, OH	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	BEAVERCREEK, OH\|CINCINNATI, OH\|CENTERVILLE, OH	Previous registration
MORGAN STANLEY DW INC.	n/a	Jan 18, 2005	Apr 2, 2007	no	CENTERVILLE, OH\|CENTERVILLE, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
9258 WEALTH MANAGEMENT, LLC	WAVERLY ADVISORS, LLC	Dec 2, 2024	Oct 22, 2024	-41	Firm change after gap	RIA to RIA
HUNTINGTON FINANCIAL ADVISORS	9258 WEALTH MANAGEMENT, LLC	Oct 6, 2020	Jan 4, 2021	90	Firm change	Ibd to RIA
PNC WEALTH MANAGEMENT	HUNTINGTON FINANCIAL ADVISORS	Oct 5, 2018	Sep 27, 2018	-8	Firm change	Ibd to ibd
MORGAN STANLEY	PNC WEALTH MANAGEMENT	Feb 1, 2018	Feb 26, 2018	25	Firm change	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
290693:115332:OH:2024-12-02	Dec 2, 2024	Oct 22, 2024	BLUE ASH, OH	Firm change after gap

Relationships

Registered with (7)

→ WAVERLY ADVISORS, LLCRegistered adviserregistration: current employment
Oct 22, 2024 to presentfactForm ADV
→ 9258 WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 4, 2021 to Dec 2, 2024factForm ADV
→ HUNTINGTON FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Sep 27, 2018 to Oct 6, 2020factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Feb 26, 2018 to Oct 5, 2018factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 1, 2018factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jan 18, 2005 to Apr 2, 2007factForm ADV

Dated events

Occurred
Dec 2, 2024
Advisor changed firm
Thomas Edward Finley left 9258 Wealth Management, Llc for Waverly Advisors, Llc (registered 2024-10-22)
Form ADVobserved 4 days ago