Thomas A. Steele

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CRD#: 1795984

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 Allen Steele, who also goes by Thomas A Steele, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 6 firms and has passed the Series 66, Series 7, Series 8 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas A Steele

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 30, 2018 - March 8, 2024

BARTLETT & CO. WEALTH MANAGEMENT LLC

RIA

CRD#: 292246

Cincinatti, OH

Past

March 8, 2012 - April 12, 2018

BARTLETT & CO. LLC

RIA

CRD#: 159973

CINCINNATI, OH

Past

April 24, 2000 - March 17, 2003

HOWARD WEIL INCORPORATED

CRD#: 30958

NEW ORLEANS, LA

Past

January 1, 2000 - April 3, 2012

BARTLETT & CO

RIA

CRD#: 112338

CINCINNATI, OH

Past

January 10, 1996 - December 6, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

CINCINNATI, OH

Past

June 20, 1989 - January 10, 1996

BARTLETT & CO.

CRD#: 86

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".

BARTLETT & CO. WEALTH MANAGEMENT LLC

BARTLETT | BARTLETT WEALTH MANAGEMENT | BARTLETT & CO. WEALTH MANAGEMENT LLC

CRD#: 292246 / SEC#: 801-112635

RIA

Registered Investment Advisory firm - (3/26/2018 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 66

Date: 12/30/1998

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 5/31/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 27

Date: 6/30/1995

Financial and Operations Principal Examination

Current Firm

BARTLETT & CO. WEALTH MANAGEMENT LLC

BARTLETT | BARTLETT WEALTH MANAGEMENT | BARTLETT & CO. WEALTH MANAGEMENT LLC

CRD#: 292246 / SEC#: 801-112635

RIA

Registered Investment Advisory firm - (3/26/2018 Approved)

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Contact information

Main Address

600 Vine Street Suite 2100, Cincinnati, OH 45202-2466

Mailing Address

Phone number

(513) 621-4612

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BARTLETT & CO WEALTH MANAGEMENT ADV PART 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	6,059
AUM (Assets Under Management)	$ 9,391,242,919

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/23/2025	Cover Page	Report
07/16/2024	Cover Page	Report
07/13/2023	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.

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Firm Stability Insights

Thomas A. Steele

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BARTLETT & CO. LLC

HOWARD WEIL INCORPORATED

BARTLETT & CO

LEGG MASON WOOD WALKER, INCORPORATED

BARTLETT & CO.

Primary Firm SEC Registration

BARTLETT & CO. WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/30/1998

Series 7

Date: 6/17/1989

Series 8

Date: 5/31/1996

Series 27

Date: 6/30/1995

Current Firm

BARTLETT & CO. WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BARTLETT & CO. WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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