Thomas Lee Frey
Professional Summary
Thomas Lee Frey is a registered financial advisor currently at FREY FINANCIAL located in Urbana, Illinois and STERLING WEALTH MANAGEMENT, INC. located in Champaign, Illinois. Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Thomas has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
STERLING FINANCIAL, INC | STERLING WEALTH MANAGEMENT, INC.
Contact Information
Main Address
301 N. Neil Street, Suite 203, Champaign, IL 61820Phone Number
(217) 398-1900# of Employees
7SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
737AUM (Assets Under Management)
$494,582,785Similar Advisors
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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.
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Primary Firm SEC Registration
STERLING FINANCIAL, INC | STERLING WEALTH MANAGEMENT, INC.
State Registrations and Notice Filings
(10/14/1998)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Lee Frey's CRS (Customer Relationship Summary).
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