Thomas W. 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 Blaine, 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Wayne Ottman's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 26, 2016 - Present
AQUINAS CAPITAL ADVISORS LLC
November 4, 2013 - May 25, 2016
ADVANCED ADVISOR GROUP, LLC
July 15, 2013 - May 25, 2016
EFS ADVISORS
October 11, 2012 - May 25, 2016
ADVANCED ADVISOR GROUP, LLC
September 14, 2012 - September 17, 2012
BENJAMIN F. EDWARDS & COMPANY, INC.
October 22, 2003 - September 14, 2012
FELTL & COMPANY
July 1, 2003 - October 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
December 17, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 15, 1998 - December 21, 1999
UBS FINANCIAL SERVICES INC.
February 16, 1996 - March 2, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
December 2, 1993 - February 15, 1996
MORGAN STANLEY DW INC.
September 18, 1992 - December 1, 1993
WELLS FARGO CLEARING SERVICES, LLC
February 12, 1992 - September 28, 1992
CITIGROUP GLOBAL MARKETS INC.
September 26, 1981 - February 11, 1992
ROBERT W. BAIRD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/26/2016)
Exams
Current Firm
AQUINAS CAPITAL ADVISORS LLC
CRD#: 283511 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 90 |
| AUM (Assets Under Management) | $ 8,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
