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TF

Thomas J. Freitag

APEX FIDUCIARY ADVISORS
Middleton, WI 53562
Some features on this profile are disabled
CRD#: 2255886
TF

Professional summary

Thomas James Freitag is a registered financial advisor currently at APEX FIDUCIARY ADVISORS LLC located in Middleton, Wisconsin.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Thomas has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 9, Series 10, Series 4 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 James Freitag'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®
None

Experience

Current

May 14, 2021 - Present

APEX FIDUCIARY ADVISORS LLC

Office #1: 8500 Greenway Blvd Ste 105, Middleton, WI 53562
RIA
CRD#: 313555
Middleton, WI
Past

August 12, 2021 - December 31, 2023

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Middleton, WI
Past

October 5, 2009 - May 6, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Middleton, WI
Past

October 5, 2009 - May 6, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Middleton, WI
Past

July 3, 2003 - July 10, 2003

CHOREO, LLC

RIA
CRD#: 111221
MADISON, WI
Past

June 24, 2003 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
MIDDLETON, WI
Past

September 24, 1992 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
MIDDLETON, WI

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
Texas
(6/22/2021)
IAR
Wisconsin
(5/14/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/12/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/15/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/21/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/22/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/26/1994
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 11/2/1993
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

AF
APEX FIDUCIARY ADVISORS LLC
AFA | FREITAG & ASSOCIATES LLC | FREITAG & ASSOCIATES | APEXFA | APEX FIDUCIARY ADVISORS LLC | APEX FIDUCIARY ADVISORS | APEX

CRD#: 313555 / SEC#:

Texas
Registered Investment Advisory firm - (6/17/2021 Conditional Restricted)
Wisconsin
Registered Investment Advisory firm - (5/21/2021 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
8500 Greenway Blvd Ste 105, Middleton, WI 53562
Mailing Address
Phone number
(608) 644-5055
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts145
AUM (Assets Under Management)$ 41,194,757

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.

Company Information

APEX FIDUCIARY ADVISORS LLC

CRD#: 313555Middleton, WI 53562

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