Thomas William Behlke
CFP®Professional Summary
Thomas William Behlke, CFP® is a registered financial advisor currently at BEHLKE FINANCIAL located in Independence, Ohio and OSAIC WEALTH, INC. located in Independence, Ohio. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Retirement Planning
- Comprehensive Financial Planning
- Employee and Employer Plan Benefits
- Insurance Planning
- Estate Planning
- Investment Planning
- Business Succession Planning
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
BEHLKE FINANCIAL | BEHLKE, THOMAS WILLIAM
Contact Information
Main Address
North Royalton, OHPhone Number
(440) 315-3206# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
85AUM (Assets Under Management)
$28,980,567Similar Advisors
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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.
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State Registrations and Notice Filings
(11/3/2023)
(11/3/2023)
(10/31/2013)
(11/3/2023)
(11/3/2023)
(6/14/2011)
(11/3/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Aug 1984About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1984About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas William Behlke's CRS (Customer Relationship Summary).
Services Offered by Thomas
- Retirement Planning
- Comprehensive Financial Planning
- Employee and Employer Plan Benefits
- Insurance Planning
- Estate Planning
- Investment Planning
- Business Succession Planning
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KEY INVESTMENT SERVICES LLC
STRATEGIC ADVISERS LLC
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