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Thomas G. Plumb

WISCONSIN CAPITAL MANAGEMENT
Madison, WI 53717
Some features on this profile are disabled
CRD#: 1732830
TP

Professional summary

Thomas Gerald Plumb is a registered financial advisor currently at WISCONSIN CAPITAL MANAGEMENT, LLC located in Madison, Wisconsin.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Thomas has worked at 2 firms and has passed the Series 65, Series 63 and Series 2 exams.

top-8-questions

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.
FOREST EDGE, LLC, INVESTMENT-RELATED, MADISON, WI, LAND ACQUISITION, OWNER, OUTSIDE OF SECURITIES TRADING HOURS, NO CONFLICT; GENERAL PARTNER; PEGASUS SUSTAINABILITY SOLUTIONS, INC., NON-INVESTMENT RELATED, 2693 RESEARCH PARK DRIVE, STE. 201, FITCHBURG, WI 53711, ENVIRONMENT WASTE PRODUCT, INVESTOR, 9/2014, NO PERSONAL ACTIVITY, O HRS/MONTH; INTERCON CONSTRUCTION, INC., 5512 STATE ROAD 19 & 113, WAUNAKEE, WI 53597, NON-INVESTMENT RELATED, CONSTRUCTION, INVESTOR, 9/2011, O HRS/MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Gerald Plumb'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

May 31, 2002 - Present

WISCONSIN CAPITAL MANAGEMENT, LLC

Office #1: 8020 Excelsior Drive Ste. 402, Madison, WI 53717
RIA
CRD#: 110394
Madison, WI
Past

January 12, 2012 - April 8, 2019

SVA WEALTH MANAGEMENT, LLC

RIA
CRD#: 159216
MADISON, WI
Past

June 4, 1984 - December 31, 2016

WISCONSIN CAPITAL MANAGEMENT, LLC

RIA
CRD#: 110394
MADISON, WI

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".
WC
WISCONSIN CAPITAL MANAGEMENT, LLC
THOMPSON PLUMB & ASSOCIATES INC | WISCONSIN CAPITAL MANAGEMENT, LLC | WISCONSIN CAPITAL MANAGEMENT, INC.

CRD#: 110394 / SEC#: 801-53829

RIA
Registered Investment Advisory firm - (1/29/1997 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
Wisconsin
(5/31/2002)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/14/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/18/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 2
Date: 8/19/1987
Non-Member General Securities Examination

Current Firm

WC
WISCONSIN CAPITAL MANAGEMENT, LLC
THOMPSON PLUMB & ASSOCIATES INC | WISCONSIN CAPITAL MANAGEMENT, LLC | WISCONSIN CAPITAL MANAGEMENT, INC.

CRD#: 110394 / SEC#: 801-53829

RIA
Registered Investment Advisory firm - (1/29/1997 Approved)
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Contact information

Main Address
8020 Excelsior Drive Ste. 402, Madison, WI 53717
Mailing Address
Phone number
(608) 960-4616
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WISCONSIN CAPITAL MANAGEMENT, LLC ADV PART 2A (8/31/2025)

Regulatory assets under management

Total Number of Accounts99
AUM (Assets Under Management)$ 256,585,053

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

WISCONSIN CAPITAL MANAGEMENT, LLC

CRD#: 110394Madison, WI 53717

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