Thomas M. Presper

PRESPER FINANCIAL ARCHITECTS

Akron, OH 44311-1077

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CRD#: 1480210

Professional summary

Thomas Michael Presper, who also goes by Tom Presper, is a registered financial advisor currently at PRESPER FINANCIAL ARCHITECTS, LLC located in Akron, Ohio.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Thomas has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 53 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Presper

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. NU RHO PSI ENDOWMENT, NOT INVESTMENT RELATED, 275 EASTLAND RD, BEREA, OH, 44017, ENDOWMENT, START 06/01/2013, 1HR/QTR NOT TRADING HRS, BOARD MEMBER. 2. PASSPORT TO RETIREMENT SEMINARS, INVESTMENT RELATED, AKRON, OH, RETIREMENT SEMINARS, STARTED 3/2017, REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 5, NOT DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: TEACHING RETIREMENT CLASSES OFFERED BY EMERALD

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Presper's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 6, 2018 - Present

PRESPER FINANCIAL ARCHITECTS, LLC

Office #1: 441 Wolf Ledges Parkway Suite 103, Akron, OH 44311-1077

RIA

CRD#: 297538

Akron, OH

Past

June 10, 2005 - August 31, 2018

CETERA ADVISORS LLC

RIA

CRD#: 10299

AKRON, OH

Past

January 1, 2004 - August 31, 2018

CETERA ADVISORS LLC

CRD#: 10299

AKRON, OH

Past

January 2, 2003 - December 31, 2005

THE MILLENNIAL GROUP

RIA

CRD#: 121500

AKRON, OH

Past

July 11, 2001 - January 1, 2004

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

July 28, 1999 - July 10, 2001

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

May 12, 1998 - July 28, 1999

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

October 4, 1990 - April 1, 1998

CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.

CRD#: 24220

GREENWOOD VILLAGE, CO

Past

September 30, 1988 - June 7, 1989

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

Past

February 24, 1988 - September 30, 1988

DATAPLAN SECURITIES, INC.

CRD#: 16813

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".

PRESPER FINANCIAL ARCHITECTS, LLC

PRESPER FINANCIAL ARCHITECTS, LLC | PROSPERO FINANCIAL

CRD#: 297538 / SEC#: 801-113773

RIA

Registered Investment Advisory firm - (8/1/2018 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.

Highlighted states indicate IAR registrations

IAR

Ohio
(9/6/2018)

IAR

Texas
(3/30/2019)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/19/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/19/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/22/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/29/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/8/2005

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/19/1992

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PRESPER FINANCIAL ARCHITECTS, LLC

PRESPER FINANCIAL ARCHITECTS, LLC | PROSPERO FINANCIAL

CRD#: 297538 / SEC#: 801-113773

RIA

Registered Investment Advisory firm - (8/1/2018 Approved)

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Contact information

Main Address

441 Wolf Ledges Parkway Suite 103, Akron, OH 44311-1077

Mailing Address

Phone number

(330) 253-6000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A-WRAP (2/25/2025)

Regulatory assets under management

Total Number of Accounts	1,657
AUM (Assets Under Management)	$ 316,896,164

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Thomas M. Presper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Presper's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

THE MILLENNIAL GROUP

VESTAX SECURITIES CORPORATION

HORNOR, TOWNSEND & KENT, LLC

VESTAX SECURITIES CORPORATION

CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

DATAPLAN SECURITIES, INC.

Primary Firm SEC Registration

PRESPER FINANCIAL ARCHITECTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2005

Series 63

Date: 8/19/1999

SIE

Date: 8/31/2018

Series 7

Date: 12/9/2004

Series 6

Date: 2/22/1988

Series 24

Date: 12/29/2005

Series 53

Date: 12/8/2005

Series 26

Date: 3/19/1992

Current Firm

PRESPER FINANCIAL ARCHITECTS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRESPER FINANCIAL ARCHITECTS, LLC

TRUST BUT VERIFY

Contact information

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