Thomas Wayne Ottman
Professional Summary
Thomas Wayne Ottman, who also goes by Thomas Ottman, is a registered financial advisor currently at AQUINAS CAPITAL ADVISORS LLC located in Andover, Minnesota. Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Thomas has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Ottman
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
45 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
AQUINAS CAPITAL ADVISORS LLC
Contact Information
Main Address
Andover, MNMailing Address
12527 Central Ave. N Suite 168, Blaine, MN 55434Phone Number
(612) 867-0534# of Employees
2Documents
Regulatory Assets Under Management
Total Number of Accounts
90AUM (Assets Under Management)
$8,500,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(5/26/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Wayne Ottman's CRS (Customer Relationship Summary).
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