Richard M. Otto

KOM WEALTH MANAGEMENT GROUP

Appleton, WI 54913

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CRD#: 2227141

Professional summary

Richard Michael Otto, CFP®, who also goes by Mike Otto, R Michael Otto, R. Michael Otto, is a registered financial advisor currently at KOM WEALTH MANAGEMENT GROUP, LLC located in Appleton, Wisconsin.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Richard has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Retirement Income Management

Retirement Planning

Comprehensive Financial Planni...

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

Mike Otto | R Michael Otto | R. Michael Otto

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)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Michael Otto'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: 1998

Experience

Current

March 29, 2017 - Present

KOM WEALTH MANAGEMENT GROUP, LLC

Office #1: 3601 E. Evergreen Drive Suite 100, Appleton, WI 54913

RIA

CRD#: 142682

Appleton, WI

Past

February 15, 2007 - December 31, 2016

KOM WEALTH MANAGEMENT GROUP, LLC

RIA

CRD#: 142682

APPLETON, WI

Past

February 15, 2007 - July 5, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

APPLETON, WI

Past

June 11, 1992 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 11, 1992 - February 15, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

APPLETON, 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".

KOM WEALTH MANAGEMENT GROUP, LLC

KERNTKE OTTO MCGLONE WEALTH MANAGEMENT GROUP | SPRING ADVISORS, LLC | KOM WEALTH MANAGEMENT GROUP, LLC

CRD#: 142682 / SEC#: 801-67464

RIA

Registered Investment Advisory firm - (1/19/2007 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

Wisconsin
(3/29/2017)

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

Series 63

Date: 6/8/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/5/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/9/1992

General Securities Representative Examination

Current Firm

KOM WEALTH MANAGEMENT GROUP, LLC

KERNTKE OTTO MCGLONE WEALTH MANAGEMENT GROUP | SPRING ADVISORS, LLC | KOM WEALTH MANAGEMENT GROUP, LLC

CRD#: 142682 / SEC#: 801-67464

RIA

Registered Investment Advisory firm - (1/19/2007 Approved)

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Contact information

Main Address

3601 E. Evergreen Drive Suite 100, Appleton, WI 54913

Mailing Address

Phone number

(920) 733-3865

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (8/24/2025)

Regulatory assets under management

Total Number of Accounts	2,279
AUM (Assets Under Management)	$ 385,046,776

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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Advisor Monitoring

Firm Stability Insights

Richard M. Otto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Michael Otto's CRS (Customer Relationship Summary).

Certified licenses

Experience

KOM WEALTH MANAGEMENT GROUP, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KOM WEALTH MANAGEMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/8/1992

SIE

Date: 7/5/2016

Series 7

Date: 6/9/1992

Current Firm

KOM WEALTH MANAGEMENT GROUP, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KOM WEALTH MANAGEMENT GROUP, LLC

TRUST BUT VERIFY

Contact information

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