Thomas M. Charon

KESTRA ADVISORY SERVICES

WAUKESHA, WI 53186

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CRD#: 1843670

Professional summary

Thomas Michael Charon, AIF® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Waukesha, Wisconsin and KESTRA INVESTMENT SERVICES, LLC located in Waukesha, Wisconsin.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 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.

Business Name: KESTRA ADVISORY SERVICES,LLC POSITION: Investment Advisor Rep NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 120 START DATE: 02/19/2024 ADDRESS: 5707 Southwest Parkway, Bldg 2, Ste 400, Austin TX 78735, United States DESCRIPTION: Sales of Retirement Plans Business Name: INTEGRITY WEALTH MANAGEMENT ,INC POSITION: Registered Rep NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 120 START DATE: 02/19/2024 ADDRESS: 20975 Swenson Dr. #225, Waukesha WI 53186, United States DESCRIPTION: Solicitation of new Retirement Plan business

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Charon'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

February 7, 2024 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 20975 Swenson Drive Ste #225, Waukesha, WI 53186

RIA

CRD#: 283330

WAUKESHA, WI

Current

February 7, 2024 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 20975 Swenson Drive #225, Waukesha, WI 53186

CRD#: 42046

Waukesha, WI

Past

June 4, 2004 - April 3, 2023

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

LOS ANGELES, CA

Past

May 20, 2002 - April 16, 2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

February 6, 1996 - May 3, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

October 30, 1993 - February 7, 1996

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

October 2, 1991 - October 29, 1993

CENTURY INVESTORS OF AMERICA, INC.

CRD#: 5322

Past

July 19, 1988 - December 31, 1989

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

July 19, 1988 - December 31, 1989

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(4/16/2024)

Iowa
(10/30/2025)

Wisconsin
(2/7/2024)

IAR

Wisconsin
(2/7/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/24/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/2/1988

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: 7/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/2/2004

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	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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Thomas M. Charon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

CAPITAL CLIENT GROUP, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

CUNA BROKERAGE SERVICES, INC.

CENTURY INVESTORS OF AMERICA, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/24/2024

Series 63

Date: 8/2/1988

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1988

Series 26

Date: 8/2/2004

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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