Thomas W. Sepull

WEALTH & TAX PLANNERS LLC

DANVILLE, CA

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CRD#: 2295928

Professional summary

Thomas William Sepull JR, who also goes by Thomas William Sepull, is a registered financial advisor currently at WEALTH & TAX PLANNERS LLC located in Danville, California and PRIVATE CLIENT SERVICES, LLC located in Walnut Creek, California.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas William Sepull

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) THOMAS W SEPULL INSURANCE. 3021 CITRUS CIRCLE, STE 200, WALNUT CREEK, CA 94598. SELL LIFE AND LONG TERM CARE INSURANCE. OWNER, ALL DUTIES-SALES, CLIENT CONTACT, FIND INSURANCE COMPANIES, ETC. 10 HRS/MO; 10 DURING TRADING HRS. 2) WEALTH & TAX PLANNERS. 1777 BOTELHO DR, #103, WALNUT CREEK, CA 94596. RIA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas William Sepull JR'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

March 13, 2015 - Present

WEALTH & TAX PLANNERS LLC

RIA

CRD#: 136450

DANVILLE, CA

Current

January 3, 2022 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 3021 Citrus Circle Suite 200, Walnut Creek, CA 94598

RIA

CRD#: 120222

Walnut Creek, CA

Past

October 21, 2014 - December 31, 2021

MUTUAL SECURITIES, INC.

CRD#: 13092

Walnut Creek, CA

Past

September 27, 2010 - October 24, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

WALNUT CREEK, CA

Past

April 8, 2009 - October 11, 2010

ONEAMERICA SECURITIES, INC.

CRD#: 4173

SAN JOSE, CA

Past

February 15, 2007 - March 23, 2009

PRINCIPAL SECURITIES, INC.

CRD#: 1137

SAN JOSE, CA

Past

August 5, 2003 - October 7, 2004

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

October 1, 1997 - August 11, 2003

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

February 3, 1993 - October 1, 1997

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(3/13/2015)

California
(1/3/2022)

Colorado
(1/14/2025)

Hawaii
(1/14/2025)

Massachusetts
(3/15/2023)

Nevada
(1/14/2025)

New Mexico
(1/14/2025)

North Carolina
(1/25/2022)

Oregon
(1/17/2025)

Rhode Island
(11/12/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/4/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/13/2006

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: 1/25/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

WEALTH & TAX PLANNERS LLC

GREENBERG, MARK ALAN | WEALTH & TAX PLANNERS LLC | WEALTH & TAX PLANNERS

CRD#: 136450 / SEC#:

California

Registered Investment Advisory firm - (5/6/2003 Approved)

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Contact information

Main Address

3021 Citrus Circle Suite 200, Walnut Creek, CA 94598

Mailing Address

Phone number

(925) 938-4300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	95
AUM (Assets Under Management)	$ 65,000,000

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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Advisor Monitoring

Firm Stability Insights

Thomas W. Sepull

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

MUTUAL SECURITIES, INC.

MML INVESTORS SERVICES, LLC

ONEAMERICA SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

RBC CAPITAL MARKETS, LLC

BANC OF AMERICA SECURITIES LLC

MONTGOMERY SECURITIES

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2015

Series 63

Date: 12/13/2006

SIE

Date: 10/1/2018

Series 7

Date: 1/25/1993

FINRA

Current Firm

WEALTH & TAX PLANNERS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WEALTH & TAX PLANNERS LLC

TRUST BUT VERIFY

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