Thomas J. Suttner

MCGLONE SUTTNER WEALTH MANAGEMENT

Appleton, WI 54913

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CRD#: 2104792

Professional summary

Thomas John Suttner, CFP®, ChFC®, CLU®, who also goes by Tom Suttner, is a registered financial advisor currently at MCGLONE SUTTNER WEALTH MANAGEMENT, INC. located in Appleton, Wisconsin.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Thomas has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Suttner

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.

1) BAY-LAKES COUNCIL, BS OF A, INVESTMENT RELATED, GREAT NORTHERN DRICE, APPLETON WI 54914- INVESTMENT REVIEW COMMITTEE, 1-2 HOURS/QUARTER- 3RD PARTY MONEY MANAGEMENT TO OVERSEE PORTFOLIO- NO TRADING AUTHORITY OR COMPENSATION. 2) INSURANCE; INVESTMENT RELATED: YES; LOCATION: 3501 E EVERGREEN DRIVE, STE A APPLETON WI 54913 UNITED STATES; POSITION TITLE: INSURANCE PRODUCER; RESPONSIBILITIES DUTIES: DISCUSS CLIENT'S INSURANCE NEEDS AND RECOMMEND APPROPRIATE INSURANCE PRODUCTS FOR THEIR USE. ; START DATE: 2022-01-02; HOURS PER MONTH DURING TRADING HOURS: 8; HOURS PER MONTH OUTSIDE TRADING HOURS: 2.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Suttner'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®

CFP^®

Certified Financial Planner

Start date: 2017

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

April 3, 2009 - Present

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

Office #1: 3501 E Evergreen Drive Ste A, Appleton, WI 54913

RIA

CRD#: 149830

Appleton, WI

Past

April 3, 2009 - July 1, 2010

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

APPLETON, WI

Past

April 1, 2002 - April 9, 2009

SII INVESTMENTS, INC.

RIA

CRD#: 2225

APPLETON, WI

Past

April 1, 2002 - April 9, 2009

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

September 21, 1998 - November 21, 2001

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

May 3, 1991 - November 12, 1998

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

May 3, 1991 - March 11, 1999

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, 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".

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

APPLETON CAPITAL PARTNERS, INC. | VERUS INVESTMENT ADVISORY GROUP, INC. | VERUS INVESTMENT ADVISORY GROUP | MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

CRD#: 149830 / SEC#: 801-112692

RIA

Registered Investment Advisory firm - (3/22/2018 Approved)

Wisconsin

Registered Investment Advisory firm - (3/27/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(4/3/2009)

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 65

Date: 11/19/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/1/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/17/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/1/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

APPLETON CAPITAL PARTNERS, INC. | VERUS INVESTMENT ADVISORY GROUP, INC. | VERUS INVESTMENT ADVISORY GROUP | MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

CRD#: 149830 / SEC#: 801-112692

RIA

Registered Investment Advisory firm - (3/22/2018 Approved)

Wisconsin

Registered Investment Advisory firm - (3/27/2018 Terminated)

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Contact information

Main Address

3501 E Evergreen Drive Ste A, Appleton, WI 54913

Mailing Address

Phone number

(920) 882-5299

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCGLONE SUTTNER WEALTH MANAGEMENT, INC. FORM ADV PART 2A (2/28/2025)

Regulatory assets under management

Total Number of Accounts	2,722
AUM (Assets Under Management)	$ 815,977,938

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 J. Suttner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Suttner's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

BANC ONE SECURITIES CORPORATION

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/1998

Series 63

Date: 5/1/1991

Series 7

Date: 11/17/1998

Series 6

Date: 5/1/1991

Current Firm

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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