TC
Thomas A. Cosgrove
CHIEF ADVISORS CORP
TRAVERSE CITY, MI 49686
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CRD#: 1047934
TC
Professional summary
Thomas Allan Cosgrove, who also goes by Tom Cosgrove, is a registered financial advisor currently at CHIEF ADVISORS CORP located in Traverse City, Michigan and TC ADVISORS LTD. located in Traverse City, Michigan.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Thomas has worked at 10 firms and has passed the Series 66, Series 63, Series 22TO, Series 6TO, Series 7TO, Series 99TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Cosgrove
Other business activities
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.
FIRST ASSET FINANCIAL INC. (FAF) APPROVES THE FOLLOWING OUTSIDE NON-SECURITIES BUSINESS ACTIVITY THAT IS NOT INVESTMENT RELATED: Cosgrove is the board chairman of the Cosgrove Foundation, 945 E. 8th, Traverse City, MI 49686, a 501(c)(3) Corporation that will service communities by identifying needs within the community and helping the individual or the organization provide the services needed beginning in July 2017. Mr. Cosgrove will devote 4 hours per month during trading hours to this foundation reviewing and making grant decisions. It is not investment-related. FAF IS NOT LIABLE IN ANY MANNER REGARDING THESE "OUTSIDE BUSINESS ACTIVITIES".THESE BUSINESS ACTIVITIES ARE CONDUCTED THROUGH ENTITIES, (WHICH OFFERS NO SECURITIES), THAT ARE NOT CO-OWNED BY, NOR AN AFFILIATE OF FAF. ALL SERVICES AND PRODUCTS THAT ARE OFFERED BY THOMAS A. COSGROVE ARE THE SOLE RESPONSIBILITY OF THOMAS A. COSGROVE ALONE AND ARE NOT THE RESPONSIBILITY OF FAF.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Allan Cosgrove's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 18, 2010 - Present
CHIEF ADVISORS CORP
Office #1: 945 E. 8th St., Traverse City, MI 49686RIA
CRD#: 125261
TRAVERSE CITY, MI
Current
January 10, 2018 - Present
TC ADVISORS LTD.
Office #1: 945 E 8th St, Traverse City, MI 49686RIA
CRD#: 290891
Traverse City, MI
Current
January 11, 2024 - Present
CF ADVISORS LLC
Office #1: 945 E 8th St, Traverse City, MI 49686RIA
CRD#: 328940
Traverse City, MI
Current
July 27, 2006 - Present
FIRST ASSET FINANCIAL INC.
Office #1: 945 East 8th Street, Traverse City, MI 49686BD
CRD#: 139107
TRAVERSE CITY, MI
Current
October 15, 2025 - Present
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
Office #1: 945 East 8th Street, Traverse City, MI 49686Office #2: 945 E 8th Street, Traverse City, MI 49686BD
CRD#: 7388
Traverse City, MI
Past
March 20, 2001 - July 27, 2006
IRON STREET SECURITIES INC.
BD
CRD#: 46338
TRAVERSE CITY, MI
Past
April 7, 1994 - February 9, 2001
HARBAY, KESSEF & CO.
BD
CRD#: 35308
COLUMBUS, OH
Past
March 24, 1993 - December 31, 1993
CORNA SECURITIES, INC.
BD
CRD#: 28663
COLUMBUS, OH
Past
June 2, 1988 - January 4, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 9, 1982 - January 14, 1988
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/17/2025)
RR
California(4/22/2008)
RR
Colorado(8/21/2007)
RR
District of Columbia(7/10/2017)
RR
Florida(8/21/2006)
RR
Illinois(3/31/2022)
RR
Kansas(7/10/2013)
RR
Michigan(7/27/2006)
IAR
Michigan(5/18/2010)
RR
Ohio(8/9/2006)
RR
Tennessee(11/9/2022)
RR
Washington(3/13/2025)
RR
Wyoming(6/1/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CHIEF ADVISORS CORP
CHIEF ADVISORS CORP | CHIEF ADVISORS CORPORATION
CRD#: 125261 / SEC#:
Kansas
Registered Investment Advisory firm - (6/11/2003 Approved)Michigan
Registered Investment Advisory firm - (3/25/2008 Approved)Missouri
Registered Investment Advisory firm - (4/22/2013 Approved)Nebraska
Registered Investment Advisory firm - (12/31/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
110 E. Iron Ave, Suite B, Salina, KS 67401
Mailing Address
P.o. Box 1364, Salina, KS 67402-1364
Phone number
(785) 827-7700
Established
Firm type
Fiscal year end
# of Employees
9
Regulatory assets under management
| Total Number of Accounts | 344 |
| AUM (Assets Under Management) | $ 92,800,290 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CHIEF ADVISORS CORP
CRD#: 125261Traverse City, MI 49686TRUST BUT VERIFY
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