TC
Tom D. Cladis
GILL CAPITAL PARTNERS
DENVER, CO 80237
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CRD#: 1049105
TC
Professional summary
Tom Dean Cladis, who also goes by Thomas Dean Cladis, is a registered financial professional currently at GILL CAPITAL PARTNERS, LLC located in Denver, Colorado.
Tom is registered as a RR (Registered Representative) and started their career in finance in 1982. Tom has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Dean Cladis
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.
CRS (Client Relationship Summary) - BD
Click below to view Tom Dean Cladis'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
February 2, 1989 - Present
GILL CAPITAL PARTNERS, LLC
Office #1: 4582 S Ulster Street Suite 1400, Denver, CO 80237Office #2: 4582 S. Ulster St. Suite 1400, Denver, CO 80237RIA
BD
CRD#: 14559
DENVER, CO
Past
March 28, 1983 - April 16, 1988
BOETTCHER & COMPANY, INC.
BD
CRD#: 101
Past
June 2, 1982 - December 9, 1982
ISAAK BOND INVESTMENTS, INC.
BD
CRD#: 7413
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GC
GILL CAPITAL PARTNERS, LLC
CONCOURSE CAPITAL CORPORATION | MORRIS,MCCASLAND INVESTMENTS,INC. | GILL CAPITAL PARTNERS, LLC | GILL CAPITAL PARTNERS | GILL AND ASSOCIATES, INC. | GILL & ASSOCIATES, INC.
CRD#: 14559 / SEC#: 801-67301, 8-30563
RIA
Registered Investment Advisory firm - SEC (12/15/2006 Approved)Colorado
Registered Investment Advisory firm - SEC (1/4/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
California(1/21/2008)
RR
Colorado(2/2/1989)
RR
Wyoming(2/3/1989)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GC
GILL CAPITAL PARTNERS, LLC
CONCOURSE CAPITAL CORPORATION | MORRIS,MCCASLAND INVESTMENTS,INC. | GILL CAPITAL PARTNERS, LLC | GILL CAPITAL PARTNERS | GILL AND ASSOCIATES, INC. | GILL & ASSOCIATES, INC.
CRD#: 14559 / SEC#: 801-67301, 8-30563
RIA
Registered Investment Advisory firm - SEC (12/15/2006 Approved)Colorado
Registered Investment Advisory firm - SEC (1/4/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
4582 S Ulster Street Suite 1400, Denver, CO 80237
Mailing Address
4582 S Ulster Street Suite 1400, Denver, CO 80237
Phone number
(303) 296-6260
Established
Colorado since 01/01/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
18
SEC notice filing (11 States and Territories)
FINRA licenses (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,594 |
| AUM (Assets Under Management) | $ 790,007,641 |
Disclosures
| Regulatory Event | 3 |
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.
