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Detailed Report
THOMAS CLAUDE LONGFELLOW
TOM LONGFELLOW
CRD#: 3180801
IA
Investment Adviser
B
Broker
ESI FINANCIAL ADVISORSCRD#: 265 ONE NATIONAL LIFE DRIVE
MONTPELIER, VT 05604
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - Present (18 years)BFIRST COMMAND FINANCIAL PLANNI... (CRD# 3641)1999 - 2006 (7 years)IAFIRST COMMAND FINANCIAL PLANNI... (CRD# 3641)2005 - 2006 (<1 year)IAFIRST COMMAND BANK (CRD# 128851)2004 - 2005 (1 year)IAFIRST COMMAND FINANCIAL PLANNI... (CRD# 3641)2003 - 2004 (1 year)
License(s)

State Registrations

B
Vermont 8/11/2006
IA
Vermont 8/11/2006

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ESI FINANCIAL ADVISORS (CRD#:265)
ONE NATIONAL LIFE DRIVE, MONTPELIER, VT 05604
ONE NATIONAL LIFE DRIVE, MONTPELIER, VT 05604
Registered with this firm since 8/11/2006
B
EQUITY SERVICES, INC. (CRD#:265)
ONE NATIONAL LIFE DRIVE, MONTPELIER, VT 05604
ONE NATIONAL LIFE DRIVE, MONTPELIER, VT 05604
Registered with this firm since 8/10/2006
Previous Registration(s)
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IA
 09/02/2005 - 07/31/2006 FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641) FORT WORTH, TX
B
 04/12/1999 - 07/31/2006 FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641) FORT WORTH, TX
IA
 04/12/2004 - 09/02/2005 FIRST COMMAND BANK (CRD#:128851) FORT WORTH, TX
IA
 04/10/2003 - 04/12/2004 FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641) FORT WORTH, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.