Thomas M. Kozlowski

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CRD#: 1535973

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 Michael Kozlowski, CFP®, who also goes by Tom Kozlowski, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Biography

As a financial advisor for over 35 years, most of them with his own firm, Tom still appreciates and recognizes the value of quality professionals working diligently to maximize their clients’ financial well-being. The bedrock of that work is providing sound advice that is always, without fail, in the client’s best interest. Those same ethics and principles are still at the core of what drives Tom every day in his position at Wealth Enhancement Group as he helps clients on their journey toward a secure and fulfilling retirement. Tom joined Wealth Enhancement Group in 2021 through the Lighthouse Wealth Management acquisition.

His service to the community is equally important to him. Over the years he has served (and in some cases, is still serving) as a board member, committee member, chairman or coach of a vast array of charities, tournaments, teams, and clubs. Along with his wife Teri, he currently splits time between his home in Austin, TX and New Market, MD. When free time allows, he enjoys golf as a member of Lost Creek Club, working out, traveling with Teri, and a good bottle of wine.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Insurance Planning

Estate Planning

Investment Planning

Are you a "fiduciary"?

Aliases

Tom Kozlowski

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)LIGHTHOUSE TAX SERVICES, LLC~NON INVESTMENT RELATED~164 W. MAIN STREET, SUITE F, NEW MARKET, MD 21774~TAX PREPARATION SERVICES~1/3 PARTNER/TAX PREPARER~DEC 2009~2HRS PER MONTH~1HR PER MONTH DURING MARKET~PARTNER/SALES - - - - - - - - - 2)NAPLES NORTH LLC~MANAGING MEMBER~INVESTMENT RELATED~164 W. MAIN STREET, SUITE F, NEW MARKET, MD 21774~REAL ESTATE INVESTMENT~1/3 PARTNER~JUL 2012~0 HRS SPENT~OVERSEE MAINTENANCE/ACCOUNTING - - - - - - - - - - - 3) NEW MARKET PROFESSIONAL CENTER, LLC~INVESTMENT RELATED~164 W. MAIN STREET, SUITE F, NEW MARKET, MD 21774~REAL ESTATE INVESTMENT~1/3 PARTNER~JUL 2006~0HR PER MONTH~0HR PER MONTH DURING MARKET~OVERSEE MAINTENANCE/ACCOUNTING - - - - - - - - - 4) LIFE/HEALTH INSURANCE~NON INVESTMENT RELATED~164 W. MAIN STREET, SUITE F, NEW MARKET, MD 21774~FIXED INSURANCE SALES~AGENT~JUN 2005~2HRS PER MONTH~2HRS PER MONTH DURING MARKET~INSURANCE SALES - - - - - - - - 5) RENTAL PROPERTIES; PARTNER; STARTED 07/01/2014; PASSIVE INVESTMENT; 4 HOURS A MONTH.

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®

CFP^®

Certified Financial Planner

Start date: 1993

Experience

Past

July 1, 2021 - December 31, 2024

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA

CRD#: 116407

NEW MARKET, MD

Past

June 27, 2014 - October 15, 2019

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

NEW MARKET, MD

Past

October 5, 2012 - June 27, 2014

NEWEDGE SECURITIES, LLC

CRD#: 10674

NEW MARKET, MD

Past

August 28, 2006 - July 23, 2021

LIGHTHOUSE WEALTH MANAGEMENT

RIA

CRD#: 118060

AUSTIN, TX

Past

May 5, 2003 - October 9, 2012

SII INVESTMENTS, INC.

RIA

CRD#: 2225

NEW MARKET, MD

Past

April 30, 2003 - October 9, 2012

SII INVESTMENTS, INC.

CRD#: 2225

NEW MARKET, MD

Past

March 24, 2000 - August 13, 2004

LIGHTHOUSE WEALTH MANAGEMENT

RIA

CRD#: 118060

FREDERICK, MD

Past

January 1, 1995 - May 3, 2003

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

FREDERICK, MD

Past

November 13, 1992 - May 3, 2003

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

November 9, 1990 - November 23, 1992

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

Past

October 4, 1990 - December 11, 1990

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

August 22, 1989 - September 28, 1990

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

June 21, 1988 - August 23, 1989

JOHNSTON, LEMON & CO. INCORPORATED

CRD#: 473

WASHINGTON, DC

Past

January 2, 1987 - June 24, 1988

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

August 19, 1986 - January 2, 1987

MICHELIN AND COMPANY, INC.

CRD#: 14447

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".

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CRD#: 116407 / SEC#: 801-60749

RIA

Registered Investment Advisory firm - (12/21/2001 Approved)

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.

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 65

Date: 9/12/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/28/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/20/1987

General Securities Principal Examination

Current Firm

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CRD#: 116407 / SEC#: 801-60749

RIA

Registered Investment Advisory firm - (12/21/2001 Approved)

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Contact information

Main Address

505 N Highway 169 Suite 900, Plymouth, MN 55441

Mailing Address

Phone number

(763) 417-1700

Established

Firm type

Fiscal year end

# of Employees

1,230

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEAS ADV PART 2A APPENDIX 1 (10/13/2025)

WEAS ADV PART 2A (10/13/2025)

Regulatory assets under management

Total Number of Accounts	186,400
AUM (Assets Under Management)	$ 94,632,028,506

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/20/2024	Cover Page	Report
03/05/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Thomas M. Kozlowski

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST ALLIED SECURITIES, INC.

NEWEDGE SECURITIES, LLC

LIGHTHOUSE WEALTH MANAGEMENT

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

LIGHTHOUSE WEALTH MANAGEMENT

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

LINCOLN INVESTMENT

CITISTREET EQUITIES LLC

FIRST UNION CAPITAL MARKETS CORP.

JOHNSTON, LEMON & CO. INCORPORATED

J. W. GANT & ASSOCIATES, INC.

MICHELIN AND COMPANY, INC.

Primary Firm SEC Registration

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/1994

Series 63

Date: 8/28/1986

SIE

Date: 10/1/2018

Series 7

Date: 8/16/1986

Series 24

Date: 10/20/1987

Current Firm

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Contact information

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