Raman J. Ghei

TOWER VIEW WEALTH MANAGEMENT LLC

Shorewood, WI

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CRD#: 1530677

Professional summary

Raman John Ghei is a registered financial advisor currently at TOWER VIEW WEALTH MANAGEMENT LLC located in Shorewood, Wisconsin.

Raman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Raman has worked at 3 firms and has passed the Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raman John Ghei'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

October 17, 2000 - Present

TOWER VIEW WEALTH MANAGEMENT LLC

RIA

CRD#: 108739

Shorewood, WI

Past

November 19, 1992 - March 4, 1994

CONCORD SERVICES L.L.C.

CRD#: 8085

Past

August 26, 1991 - October 21, 1991

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

Past

August 19, 1986 - October 17, 1990

CONCORD SERVICES L.L.C.

CRD#: 8085

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".

TOWER VIEW WEALTH MANAGEMENT LLC

TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC | TOWER VIEW WEALTH MANAGEMENT LLC

CRD#: 108739 / SEC#: 801-110226

RIA

Registered Investment Advisory firm - (3/24/2017 Approved)

Illinois

Registered Investment Advisory firm - (3/24/2017 Terminated)

Minnesota

Registered Investment Advisory firm - (4/4/2017 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/4/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(8/20/2021)

IAR

Florida
(9/30/2021)

IAR

Illinois
(3/27/2006)

IAR

Minnesota
(2/22/2017)

IAR

New Hampshire
(8/20/2021)

IAR

Texas
(4/9/2019)

IAR

Wisconsin
(10/17/2000)

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

Series 63

Date: 11/20/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

Current Firm

TOWER VIEW WEALTH MANAGEMENT LLC

TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC | TOWER VIEW WEALTH MANAGEMENT LLC

CRD#: 108739 / SEC#: 801-110226

RIA

Registered Investment Advisory firm - (3/24/2017 Approved)

Illinois

Registered Investment Advisory firm - (3/24/2017 Terminated)

Minnesota

Registered Investment Advisory firm - (4/4/2017 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/4/2017 Terminated)

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Contact information

Main Address

Shorewood, WI

Mailing Address

146 Algoma Blvd Suite E, Oshkosh, WI 54901

Phone number

(414) 253-4096

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DECEMBER 2025 BROCHURE (12/2/2025)

Regulatory assets under management

Total Number of Accounts	206
AUM (Assets Under Management)	$ 281,916,345

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.

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Raman J. Ghei

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raman John Ghei's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOWER VIEW WEALTH MANAGEMENT LLC

CONCORD SERVICES L.L.C.

FIRSTAR INVESTMENT SERVICES,INC.

CONCORD SERVICES L.L.C.

Primary Firm SEC Registration

TOWER VIEW WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/20/1986

Series 7

Date: 8/16/1986

Current Firm

TOWER VIEW WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOWER VIEW WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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