TP
Thomas J. Portz
STERLING CAPITAL MANAGEMENT
Brookfield, WI 53005
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CRD#: 1218627
TP
Professional summary
Thomas John Portz, CFP® is a registered financial advisor currently at STERLING CAPITAL MANAGEMENT INC located in Brookfield, Wisconsin and MOLONEY SECURITIES CO., INC. located in Waukesha, Wisconsin.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7, Series 24, Series 4 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
STERLING CAPITAL MANAGEMENT INC - STERLING CAPITAL MANAGEMENT INC IS A FEDERALLY REGULATED INVESTMENT ADVISOR. TOM PORTZ HAS WORKED CONCURRENTLY WITH STERLING CAPITAL MANAGEMENT INC AND STERLING FINANCIAL SINCE AUGUST 1997 MAIN STREET PROPERTIES LLC - I OWN A COMMERCIAL RENTAL BUILDING WHICH IS HELD IN MAIN STREET PROPERTIES. OVERSIGHT OF THE ENTITY IS MINIMAL, LESS THAN ONE HOUR DURING BUSINESS HOURS PER WEEK. LAKESHORE CAPITAL PARTNERS LLC - I OWN A NUMBER OF PARCELS OF LAND ON OR OVERLOOKING LAKE MICHIGAN NORTH OF MILWAUKEE. LAKESHORE CAPITAL HOLDS SOME OF THAT LAND. I ANTICIPATE SUBDIVIDING THE LAND IN THE YEARS TO COME. FOR NOW, OVERSIGHT OF THE LAND REQUIRES LESS THAN ONE BUSINESS HOUR PER WEEK. MISCELLANEOUS REAL ESTATE - FOR OVER 20 YEARS, I HAVE OWNED A NUMBER OF RENTAL PROPERTIES. OVERSIGHT IS MINIMAL, LESS THAN ONE BUSINESS HOUR PER WEEK. LUMINEUX CORPORATION - IN MY SPARE TIME I WORK ON VARIOUS IDEAS. I HAVE FILED A NUMBER OF THESE WITH THE U.S. AND CANADIAN PATENT OFFICES. I HAVE BEEN AWARDED 6 U.S. PATENTS AND HAVE OTHERS FILED AWAITING POSSIBLE APPROVAL. PRODUCE AND SELL NON-FUNGIBLE TOKENS (NFTs). I ESTABLISHED LUMINEUX IN LATE 2008 AS AN ENTITY TO COORDINATE THESE DESIGN AND PATENT IDEAS. MOST ALL OF THE TIME DEVOTED TO THIS EFFORT IS AFTER BUSINESS HOURS. I ESTIMATE THAT LUMINEUX REQUIRES LESS THAN ONE BUSINESS HOUR PER WEEK. NON-INVESTMENT RELATED LECTURER - NOT INVESTMENT-RELATED, BEGINNING FALL 2017, LECTURING ON UK/BREXIT/EU ISSUES, BITCOIN, NFT'S (NON-FUNGIBLE TOKENS) & AMERICAN OPTIMISM. LESS THAN 10 HOURS/MO DEVOTED DURING SECURITIES TRADING HOURS FINE ART (PAINTING}, NOT INVESTMENT-RELATED, 1801 JENNIFER LANE, WAUKESHA, WI 53186, NO TIME IS DEVOTED DURING SECURITIES TRADING HOURS PUBLISHED AUTHOR. ELEPHANTS AND GRAPES. 17160 W. NORTH AVE #200, BROOKFIELD, WI 53005. WRITER/AUTHOR. NOT INVESTMENT RELATED. VERY LITTLE TIME, IF ANY, IS DEVOTED DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas John Portz'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®
CFP®
Start date: 1995
Experience
Current
November 7, 1997 - Present
STERLING CAPITAL MANAGEMENT INC
Office #1: 17160 W. North Ave Suite 200, Brookfield, WI 53005RIA
CRD#: 106822
Brookfield, WI
Current
February 18, 2010 - Present
MOLONEY SECURITIES CO., INC.
Office #1: 1801 Jennifer Lane, Waukesha, WI 53186Office #2: 17160 W. North Avenue Suite 200, Brookfield, WI 53005BD
CRD#: 38535
Waukesha, WI
Past
August 24, 2009 - March 19, 2010
MERITUS FINANCIAL GROUP, INC.
BD
CRD#: 128957
WAUKESHA, WI
Past
June 23, 2003 - August 18, 2009
WATERSTONE FINANCIAL GROUP, INC.
RIA
CRD#: 10078
WAUKESHA, WI
Past
October 28, 2002 - August 18, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
WAUKESHA, WI
Past
October 13, 1997 - October 28, 2002
DREHER & ASSOCIATES, INC.
BD
CRD#: 8665
OAKBROOK TERRACE, IL
Past
January 15, 1988 - September 25, 1997
INVESTMENT DESIGNERS, INC.
BD
CRD#: 19527
BROOKFIELD, WI
Past
December 21, 1983 - January 19, 1988
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
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".
SC
STERLING CAPITAL MANAGEMENT INC
STERLING CAPITAL MANAGEMENT INC
CRD#: 106822 / SEC#: 801-54107
RIA
Registered Investment Advisory firm - (3/24/1997 Approved)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
California(2/18/2010)
RR
Colorado(2/18/2010)
RR
Connecticut(9/13/2017)
RR
Florida(2/18/2010)
RR
Georgia(10/6/2020)
RR
Illinois(2/18/2010)
RR
Indiana(11/27/2023)
RR
Kentucky(2/17/2014)
RR
Maryland(2/18/2010)
RR
Michigan(9/11/2017)
RR
Minnesota(2/18/2010)
RR
Nevada(6/12/2019)
RR
New Mexico(7/2/2020)
RR
New York(6/25/2021)
RR
Oregon(11/8/2024)
RR
Tennessee(2/18/2010)
RR
Texas(2/18/2010)
RR
Washington(3/31/2025)
IAR
Wisconsin(11/7/1997)
RR
Wisconsin(2/18/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SC
STERLING CAPITAL MANAGEMENT INC
STERLING CAPITAL MANAGEMENT INC
CRD#: 106822 / SEC#: 801-54107
RIA
Registered Investment Advisory firm - (3/24/1997 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
17160 W. North Ave Suite 200, Brookfield, WI 53005
Mailing Address
Phone number
(262) 970-9700
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 413 |
| AUM (Assets Under Management) | $ 255,218,348 |
Red Flags
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Company Information
STERLING CAPITAL MANAGEMENT INC
CRD#: 106822Brookfield, WI 53005TRUST BUT VERIFY
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