Thomas G. Karlen

KESTRA ADVISORY SERVICES

Hudson, WI 54016

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CRD#: 2339497

Professional summary

Thomas Gregory Karlen, who also goes by Tom Karlen, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Hudson, Wisconsin.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Karlen

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.

RENTAL PROPERTY, INVESTMENT RELATED, MINNEAPOLIS, MN, 100% OWNERSHIP, START 1/1/2010, 10 HOURS PER MONTH, ZERO DURING TRADING. TGBC NICOLLET LLC, INV RELATED, ST. PAUL, MN, 100% OWNERSHIP, START 4/6/2009, 10 HOURS PER MONTH, ZERO DURING TRADING, HOLDS RENTAL PROPERTY. MET GIRARD LLC, INV RELATED, ST. PAUL, MN, 100% OWNERSHIP, START 5/10/2011, 20 HOURS PER MONTH, ZERO DURING TRADING, HOLDS RENTAL PROPERTY. RENTAL PROPERTY, INVESTMENT RELATED, MINNEAPOLIS, MN, 100% OWNERSHIP, START 1/1/2009, 15 HOURS PER MONTH, ZERO DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Gregory Karlen'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

November 4, 2025 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 86 Coulee Rd Ste 100, Hudson, WI 54016

RIA

CRD#: 283330

Hudson, WI

Past

June 1, 2023 - November 6, 2025

PETROS FAMILY WEALTH, LLC

RIA

CRD#: 324059

BLOOMINGTON, MN

Past

January 21, 2014 - February 27, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BLOOMINGTON, MN

Past

January 1, 2008 - February 27, 2023

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BLOOMINGTON, MN

Past

May 16, 2002 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

MINNEAPOLIS, MN

Past

August 18, 1995 - May 17, 2002

MILLER JOHNSON STEICHEN KINNARD, INC.

CRD#: 694

MINNEAPOLIS, MN

Past

February 2, 1995 - August 18, 1995

JOHN G. KINNARD AND COMPANY, INCORPORATED

CRD#: 466

MINNEAPOLIS, MN

Past

August 9, 1994 - January 31, 1995

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 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

Minnesota
(11/4/2025)

IAR

Texas
(11/8/2025)

IAR

Wisconsin
(11/4/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/31/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/3/1994

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: 7/19/1994

General Securities Representative Examination

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	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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Advisor Monitoring

Firm Stability Insights

Thomas G. Karlen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Gregory Karlen's CRS (Customer Relationship Summary).

Certified licenses

Experience

PETROS FAMILY WEALTH, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

MILLER JOHNSON STEICHEN KINNARD, INC.

JOHN G. KINNARD AND COMPANY, INCORPORATED

RBC CAPITAL MARKETS, LLC

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/31/2023

Series 63

Date: 8/3/1994

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1994

Current Firm

KESTRA ADVISORY SERVICES, LLC

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

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Contact information

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