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TS

Thomas G. Straight

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CRD#: 1405418
TS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Gerald Straight was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 7 firms and has passed the Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 29, 2009 - August 7, 2013

FFEC WEALTH PARTNERS LLC

RIA
CRD#: 16507
GREENWOOD VILLAGE, CO
Past

April 29, 2009 - August 7, 2013

FFEC WEALTH PARTNERS LLC

BD
CRD#: 16507
GREENWOOD VILLAGE, CO
Past

August 12, 2006 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
LITTLETON, CO
Past

August 12, 2006 - May 13, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
LITTLETON, CO
Past

October 22, 2002 - August 12, 2006

PIPER SANDLER & CO.

RIA
CRD#: 665
LITTLETON, CO
Past

August 5, 2002 - August 12, 2006

PIPER SANDLER & CO.

BD
CRD#: 665
LITTLETON, CO
Past

January 1, 1999 - August 16, 2002

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
GREENWOOD VILLAGE, CO
Past

March 2, 1998 - August 16, 2002

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

November 7, 1994 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

January 6, 1992 - November 8, 1994

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 4, 1990 - January 16, 1992

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

October 23, 1985 - September 4, 1990

BOETTCHER & COMPANY, INC.

BD
CRD#: 101

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/4/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 12/14/1990
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

FW
FFEC WEALTH PARTNERS LLC
155 PRIVATE WEALTH MANAGEMENT | YS ASSET MANAGEMENT | YANOFSKY WEALTH MANAGEMENT | WELLS ASSET MANAGEMENT | TAYLOR INSURANCE & FINANCIAL SERVICES | SPICER PRIVATE WEALTH MANAGEMENT | SITZMAN BONNER WEALTH MANAGEMENT | SIMONSON WEALTH MANAGEMENT | SILVER BIRCH ADVISORS | SELF WEALTH MANAGEMENT | SAGE WEALTH MANAGEMENT | PEAK FINANCIAL MANAGEMENT | NOWFEL PRIVATE WEALTH MANAGEMENT | MULENFELD & HUISH | LINDAU CAPITAL MANAGEMENT | HERMES WEALTH MANAGEMENT | HAWKPEAK CONSULTING GROUP | HALL WEALTH STRATEGIES | GIBSON WEALTH MANAGEMENT | GIAGER WEALTH MANAGEMENT | FIRST FINANCIAL OF ASPEN | FIRST FINANCIAL EQUITY CORPORATION | FIDUCIARY 401K ADVISORS | FFEC WEALTH PARTNERS LLC | FFEC | EXECUTIVE WEALTH PLANNING | ESPINOZA PRIVATE WEALTH MANAGEMENT | EDWARD GEORGE WEALTH MANAGEMENT | DKGBFINANCIAL GROUP | DISCIPLINED ADVISORS GROUP | DILDAY & ASSOCIATES | CARDIEL CAPITAL MANAGEMENT | BARON FINANCIAL GROUP | ARTFX FINANCIAL PLANNING

CRD#: 16507 / SEC#: 801-63970, 8-34082

BD
Terminated by SEC on 10/22/2022
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Contact information

Main Address
7047 E Greenway Parkway Suite 350, Scottsdale, AZ 85254
Mailing Address
Phone number
(480) 951-0079
Established
Arizona since 06/02/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
174

Documents

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (2/3/2022)
FORM ADV 2A (2/3/2022)

Direct owners and executive officers

NamePositionCRD#
SITZMAN, ANDREW LEECFO, CCO6877630

Regulatory assets under management

Total Number of Accounts5,755
AUM (Assets Under Management)$ 2,371,850,816

Disclosures

Regulatory Event8
Arbitration1

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.

Company Information

FFEC WEALTH PARTNERS LLC

CRD#: 16507

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