Thomas E. Rowe

GENEVA PARTNERS

LAKE GENEVA, WI 53147

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CRD#: 2284275

Professional summary

Thomas Eugene Rowe is a registered financial advisor currently at GENEVA PARTNERS, LLC located in Lake Geneva, Wisconsin.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 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 Eugene Rowe'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

June 20, 2017 - Present

GENEVA PARTNERS, LLC

Office #1: 820 Geneva Parkway North Suite 106, Lake Geneva, WI 53147

RIA

CRD#: 130768

LAKE GENEVA, WI

Past

June 20, 2017 - December 31, 2017

GENEVA PARTNERS, LLC

RIA

CRD#: 130768

LaSalle, IL

Past

January 30, 2015 - June 23, 2017

STONEX ADVISORS INC.

RIA

CRD#: 174182

BIRMINGHAM, AL

Past

September 12, 2014 - June 23, 2017

STONEX SECURITIES INC.

CRD#: 18456

LA SALLE, IL

Past

August 18, 2006 - January 30, 2015

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

LA SALLE, IL

Past

June 30, 2003 - September 12, 2014

WRP INVESTMENTS, INC.

CRD#: 7365

LA SALLE, IL

Past

July 20, 1994 - July 10, 2003

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

November 6, 1992 - July 19, 1994

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

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".

GENEVA PARTNERS, LLC

GENEVA PARTNERS OF ILLINOIS | GENEVA PARTNERS, LLC

CRD#: 130768 / SEC#: 801-107776

RIA

Registered Investment Advisory firm - (5/9/2016 Approved)

California

Registered Investment Advisory firm - (8/21/2016 Terminated)

Illinois

Registered Investment Advisory firm - (5/9/2016 Terminated)

Michigan

Registered Investment Advisory firm - (7/25/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/2/2016 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

Illinois
(6/20/2017)

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

IAR

Series 65

Date: 8/15/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/4/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/23/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/4/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GENEVA PARTNERS, LLC

GENEVA PARTNERS OF ILLINOIS | GENEVA PARTNERS, LLC

CRD#: 130768 / SEC#: 801-107776

RIA

Registered Investment Advisory firm - (5/9/2016 Approved)

California

Registered Investment Advisory firm - (8/21/2016 Terminated)

Illinois

Registered Investment Advisory firm - (5/9/2016 Terminated)

Michigan

Registered Investment Advisory firm - (7/25/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/2/2016 Terminated)

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Contact information

Main Address

772 West Main Street Suite 301, Lake Geneva, WI 53147

Mailing Address

Phone number

(262) 248-1350

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GENEVA PARTNERS PART 2A BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,252
AUM (Assets Under Management)	$ 387,318,871

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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Firm Stability Insights

Thomas E. Rowe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Eugene Rowe's CRS (Customer Relationship Summary).

Certified licenses

Experience

GENEVA PARTNERS, LLC

STONEX ADVISORS INC.

STONEX SECURITIES INC.

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

FFP SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

GENEVA PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/2006

Series 63

Date: 11/4/1992

SIE

Date: 6/23/2017

Series 6

Date: 11/4/1992

Current Firm

GENEVA PARTNERS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GENEVA PARTNERS, LLC

TRUST BUT VERIFY

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