Thomas W. Hagstrom

APPLETON PARTNERS

BOSTON, MA 02109

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CRD#: 2165970

Professional summary

Thomas William Hagstrom, who also goes by Thomas Hagstrom, is a registered financial advisor currently at APPLETON PARTNERS, INC. located in Boston, Massachusetts.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Thomas has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Hagstrom

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) - RIA

Click below to view Thomas William Hagstrom'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®

None

Experience

Current

May 15, 2024 - Present

APPLETON PARTNERS, INC.

Office #1: One Post Office Square 5th Floor, Boston, MA 02109

RIA

CRD#: 110049

BOSTON, MA

Past

January 25, 2022 - January 10, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Boston, MA

Past

March 16, 2021 - January 25, 2022

CHARLES SCHWAB INVESTMENT ADVISORY, INC

RIA

CRD#: 151739

Boston, MA

Past

April 7, 2016 - December 11, 2020

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Boston, MA

Past

February 4, 2016 - January 10, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Boston, MA

Past

September 6, 2011 - November 20, 2015

F-SQUARED INVESTMENTS, INC

RIA

CRD#: 146673

WELLESLEY, MA

Past

February 4, 2005 - February 20, 2008

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

BOSTON, MA

Past

July 24, 2001 - February 3, 2005

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, MA

Past

July 28, 1998 - July 27, 2001

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 19, 1994 - July 24, 1998

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

August 15, 1991 - September 21, 1994

BANC ONE CAPITAL MARKETS, INC.

CRD#: 23065

CHICAGO, IL

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".

APPLETON PARTNERS, INC.

APPLETON PARTNERS INC | APPLETON PARTNERS,INC. | APPLETON PARTNERS, INC.

CRD#: 110049 / SEC#: 801-29384

RIA

Registered Investment Advisory firm - (2/10/1987 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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(5/15/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/4/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/22/1991

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: 2/4/2016

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 5/24/1999

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/2016

General Securities Principal Examination

Current Firm

APPLETON PARTNERS, INC.

APPLETON PARTNERS INC | APPLETON PARTNERS,INC. | APPLETON PARTNERS, INC.

CRD#: 110049 / SEC#: 801-29384

RIA

Registered Investment Advisory firm - (2/10/1987 Approved)

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Contact information

Main Address

One Post Office Square 5th Floor, Boston, MA 02109

Mailing Address

Phone number

(617) 338-0700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPLETON PARTNERS, ADV PART 2 (7/7/2025)

Regulatory assets under management

Total Number of Accounts	7,414
AUM (Assets Under Management)	$ 13,452,681,852

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/11/2025	Cover Page	Report
01/11/2024	Cover Page	Report
10/26/2022	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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Thomas W. Hagstrom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas William Hagstrom's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB INVESTMENT ADVISORY, INC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

F-SQUARED INVESTMENTS, INC

NATWEST MARKETS SECURITIES INC.

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

LEHMAN BROTHERS INC.

CREDIT SUISSE SECURITIES (USA) LLC

BANC ONE CAPITAL MARKETS, INC.

Primary Firm SEC Registration

APPLETON PARTNERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/4/2016

Series 63

Date: 8/22/1991

SIE

Date: 10/1/2018

Series 7

Date: 2/4/2016

Series 3

Date: 5/24/1999

Series 24

Date: 7/1/2016

Current Firm

APPLETON PARTNERS, INC.

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

APPLETON PARTNERS, INC.

TRUST BUT VERIFY

Contact information

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