Thomas F. Shumosic
KESTRA ADVISORY SERVICES
WILMINGTON, DE
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CRD#: 1913737
Professional summary
Thomas Francis Shumosic, AIF®, CFP®, who also goes by Thom Shumosic, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Wilmington, Delaware and KESTRA INVESTMENT SERVICES, LLC located in Wilmington, Delaware.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Thomas has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thom Shumosic
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: MidAtlantic Retirement Planning Specialists Rockwood Financial Group, INC Investment Related: Yes Address: 228 Philadelphia Pike Suite A Wilmington DE 19809 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: President, Founder Start Date: 1/1/1998 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Managing the entity and supervising the staffBusiness Name: Kestra Advisory Services LLC Investment Related: Yes Address: 5707 Southwest Pky, Building 2, Suite 400P Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Certified Financial Planner Start Date: 6/28/2017 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Financial PlanningBusiness Name: Advisory Board for the Financial Planning Major- University of Delaware Investment Related: No Address: Lerner Hall Newark DE 19706 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Board Member Start Date: 10/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: AdvisoryBusiness Name: Delaware Art Museum Investment Related: No Address: 2301 Kentmere Pkwy Wilmington DE 19806 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Board of Trustee member Start Date: 6/1/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Volunteer on various committees. One committee I sit on will be the Finance Committee. I will NOT have any direct exposure to any monetary decisions made by the Museum, nor will I act as Treasurer
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Francis Shumosic's 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®
CFP®
Start date: 1993
Experience
Current
June 28, 2017 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 1415 Foulk Road Suite 202, Wilmington, DE 19803RIA
CRD#: 283330
WILMINGTON, DE
Current
June 28, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1415 Foulk Road Suite 202, Wilmington, DE 19803BD
CRD#: 42046
WILMINGTON, DE
Past
July 26, 2000 - June 28, 2017
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
WILMINGTON, DE
Past
January 2, 1998 - June 28, 2017
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
WILMINGTON, DE
Past
October 16, 1996 - January 2, 1998
PINEBRIDGE SECURITIES LLC
BD
CRD#: 5967
NEW YORK, NY
Past
September 13, 1991 - October 23, 1996
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
May 24, 1990 - September 9, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
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".
KA
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.RR
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
RR
California(1/3/2018)
RR
Delaware(6/28/2017)
IAR
Delaware(6/28/2017)
RR
Florida(6/28/2017)
RR
Georgia(6/28/2017)
RR
Illinois(8/27/2024)
RR
Indiana(1/12/2023)
RR
Maryland(6/28/2017)
RR
New Jersey(6/28/2017)
RR
New York(6/28/2017)
RR
North Carolina(6/28/2017)
RR
Pennsylvania(6/28/2017)
RR
South Carolina(6/28/2017)
RR
Texas(6/28/2017)
RR
Virginia(6/28/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
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)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
