TW
Thomas R. Wiseman
WISEMAN & ASSOCIATES WEALTH MANAGEMENT
Middleburg, VA 20117
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CRD#: 1358050
TW
Professional summary
Thomas Reid Wiseman II, who also goes by Thomas Reid II Wiseman, is a registered financial advisor currently at WISEMAN & ASSOCIATES WEALTH MANAGEMENT located in Middleburg, Virginia and LPL FINANCIAL LLC located in Middleburg, Virginia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Reid Ii Wiseman
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.
1. 02/19/2013: NON-VARIABLE INSURANCE DBA - WISEMAN & ASSOCIATES WEALTH MANAGEMENT - LIFE - INV REL - At Reported Business Location(s) 2. 08/05/2013: BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - WISEMAN AND ASSOCIATES, FINANCIAL SERVICES, LTD - INV REL - At Reported Business Location(s) - TIME SPENT 0%. 3. 08/12/2013: OTHER-FAMILY PARTNERSHIP - WOW'S, LLC - INV REL - At Reported Business Location(s) - MANAGING MEMBER OF FAMILY INVESTMENT LLC. - TIME SPENT 5%. 4. 01/20/2015: WISEMAN WEALTH, LLC - INV REL - 27 WEST BOSCAWEN STREET, WINCHESTER, VA 22601 - REGISTERED INVESTMENT ADVISOR HYBRID - START 01/01/2014 - 85 HR/MO 4 DURING SECS TRDG HRS 5. 04/20/2016; Wiseman & Associates Financial Services, LTD - Non-Variable Insurance - INV REL - AT REPORTED BUSINESS LOCATION(S) - START DATE 09/15/1996 - Agent - 10 HRS/MO; 10 HOURS DURING SECS TRADING HOURS. 6. 11/28/2016: Wiseman Wealth, LLC - DBA: Wiseman & Associates Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 01/01/14 - 85 Hours Per Month/4 Hours During Securities Trading - I provide investment advisory services through Wiseman Wealth, an independent investment advisor firm. I started this business activity in May 2014. I expect to spend approximately 85 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 7. 5/25/2021 - Cromwells Run - Investment Related - 3050 Five Points Road, Marshall, VA 20115 - Real Estate Rental - Started 04/15/2021 - 2 Hours Per Month/0 Hours During Securities Trading - Two apartments on my property for "Airbnb".
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Reid Wiseman II'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
October 22, 2015 - Present
WISEMAN & ASSOCIATES WEALTH MANAGEMENT
Office #1: 115 The Plains Road Suite 100, Middleburg, VA 20117RIA
CRD#: 169677
Middleburg, VA
Current
December 6, 2007 - Present
LPL FINANCIAL LLC
Office #1: 115 The Plains Rd, Ste 100, Middleburg, VA 20117RIA
BD
CRD#: 6413
Middleburg, VA
Past
December 6, 2007 - October 22, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
WINCHESTER, VA
Past
July 30, 1999 - December 11, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
WINCHESTER, VA
Past
September 25, 1992 - December 11, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
WINCHESTER, VA
Past
January 4, 1991 - September 21, 1992
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
March 1, 1990 - December 31, 1990
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
GLEN ALLEN, VA
Past
September 19, 1986 - February 23, 1990
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
March 27, 1986 - September 23, 1986
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
BD
CRD#: 7303
Past
April 3, 1985 - April 3, 1986
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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(12/6/2007)
RR
Colorado(3/3/2010)
RR
District of Columbia(4/6/2016)
RR
Florida(12/6/2007)
RR
Georgia(12/6/2007)
RR
Indiana(8/9/2012)
RR
Kentucky(2/16/2023)
RR
Maine(6/22/2022)
RR
Maryland(12/6/2007)
RR
New York(12/10/2007)
RR
North Carolina(12/6/2007)
RR
Ohio(5/11/2023)
RR
Pennsylvania(12/10/2007)
RR
Texas(10/10/2023)
RR
Virginia(12/6/2007)
IAR
Virginia(10/22/2015)
RR
West Virginia(12/10/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
W&
WISEMAN & ASSOCIATES WEALTH MANAGEMENT
WISEMAN & ASSOCIATES WEALTH MANAGEMENT | WISEMAN WEALTH, LLC | WISEMAN II, THOMAS R.
CRD#: 169677 / SEC#: 801-107441
RIA
Registered Investment Advisory firm - (6/30/2020 Terminated)Texas
Registered Investment Advisory firm - (3/29/2016 Terminated)Virginia
Registered Investment Advisory firm - (6/25/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
115 The Plains Road Suite 100, Middleburg, VA 20117
Mailing Address
Po Box 2264, Middleburg, VA 20118
Phone number
(540) 687-7077
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 195 |
| AUM (Assets Under Management) | $ 82,155,429 |
Red Flags
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Company Information
WISEMAN & ASSOCIATES WEALTH MANAGEMENT
CRD#: 169677Middleburg, VA 20117TRUST BUT VERIFY
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Contact information
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