Thomas A. Cosgrove

CHIEF ADVISORS CORP

TRAVERSE CITY, MI 49686

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CRD#: 1047934

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Allan Cosgrove's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 18, 2010 - Present

CHIEF ADVISORS CORP

Office #1: 945 E. 8th St., Traverse City, MI 49686

RIA

CRD#: 125261

TRAVERSE CITY, MI

Current

January 10, 2018 - Present

TC ADVISORS LTD.

Office #1: 945 E 8th St, Traverse City, MI 49686

RIA

CRD#: 290891

Traverse City, MI

Current

January 11, 2024 - Present

CF ADVISORS LLC

Office #1: 945 E 8th St, Traverse City, MI 49686

RIA

CRD#: 328940

Traverse City, MI

Current

October 15, 2025 - Present

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

Office #1: 945 East 8th Street, Traverse City, MI 49686

CRD#: 7388

Traverse City, MI

Past

July 27, 2006 - December 31, 2025

FIRST ASSET FINANCIAL INC.

CRD#: 139107

TRAVERSE CITY, MI

Past

March 20, 2001 - July 27, 2006

IRON STREET SECURITIES INC.

CRD#: 46338

TRAVERSE CITY, MI

Past

April 7, 1994 - February 9, 2001

HARBAY, KESSEF & CO.

CRD#: 35308

COLUMBUS, OH

Past

March 24, 1993 - December 31, 1993

CORNA SECURITIES, INC.

CRD#: 28663

COLUMBUS, OH

Past

June 2, 1988 - January 4, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 9, 1982 - January 14, 1988

THOMSON MCKINNON SECURITIES INC.

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.

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

Alabama
(10/17/2025)

California
(10/15/2025)

Colorado
(10/19/2025)

District of Columbia
(10/20/2025)

Florida
(10/16/2025)

Georgia
(1/6/2026)

Illinois
(10/20/2025)

Kansas
(10/19/2025)

IAR

Michigan
(5/18/2010)

Michigan
(10/17/2025)

Minnesota
(1/5/2026)

Nevada
(1/5/2026)

North Carolina
(1/6/2026)

Ohio
(10/15/2025)

Oklahoma
(1/7/2026)

South Carolina
(1/6/2026)

Vermont
(1/5/2026)

Washington
(10/17/2025)

Wisconsin
(1/7/2026)

Wyoming
(10/20/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/25/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/29/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/1983

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/28/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/8/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/7/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TC ADVISORS LTD.

CRD#: 290891 / SEC#: 801-123372

RIA

Registered Investment Advisory firm - (2/21/2023 Terminated)

Kansas

Registered Investment Advisory firm - (2/16/2023 Approved)

Michigan

Registered Investment Advisory firm - (2/17/2023 Approved)

Tennessee

Registered Investment Advisory firm - (3/9/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

110 E. Iron Ave. Ste C, Salina, KS 67401

Mailing Address

P.o. Box 1364, Salina, KS 67402

Phone number

(785) 827-7700

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	220
AUM (Assets Under Management)	$ 85,891,787

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.

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Advisor Monitoring

Firm Stability Insights

Thomas A. Cosgrove

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Allan Cosgrove's CRS (Customer Relationship Summary).

Certified licenses

Experience

TC ADVISORS LTD.

CF ADVISORS LLC

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

FIRST ASSET FINANCIAL INC.

IRON STREET SECURITIES INC.

HARBAY, KESSEF & CO.

CORNA SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

THOMSON MCKINNON SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/25/2010

Series 63

Date: 6/29/1982

Series 22TO

Date: 1/2/2023

Series 6TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/15/1983

Series 22

Date: 6/28/1982

Series 6

Date: 6/8/1982

Series 24

Date: 9/7/2000

FINRA

Current Firm

TC ADVISORS LTD.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TC ADVISORS LTD.

TRUST BUT VERIFY

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