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Thomas J. Ouellette
OUELLETTE WEALTH ADVISORY LLC
Lexington, MA 02420
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CRD#: 2393313
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Professional summary
Thomas Joseph Ouellette, AIF®, who also goes by Tom Ouellette, is a registered financial advisor currently at OUELLETTE WEALTH ADVISORY LLC located in Lexington, Massachusetts and PRIVATE CLIENT SERVICES, LLC located in Lexington, Massachusetts.
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 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Ouellette
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) CLO Reality, LLC. 35 Bedford Street, Suite #16, Lexington, MA 02420. Owning and operating real estate at 35 Bedford Street, Lexington, MA, Suites 13, 14 and 16. Paying bills for real estate including utilities, taxes, managing member. 1 hr/mo; 1 during trading hrs. Not investment related. 2) The Liberties Condominium Trust. 35 Bedford Street, Suite #16, Lexington, MA 02420. Trust established by unit owners of the Liberties Condominium for the purposes of maintaining, managing, regulating and preserving common. Have the authority to perform actions associated with maintenance management and regulation and preservation of common areas w/in the trustee. 5 hrs/mo; 5 during trading hrs. Not investment related. 3) Thomas J. Ouellette. 35 Bedford Street, Suite #16, Lexington, MA 02420. Selling fixed life, disability and long-term care insurance, producer/broker. Selling fixed annuities, life, disability and long-term care with GBA & quot; Bulbrook, Drislain & quot, Highland. 10 hrs/mo; 1 during trading hrs. Not investment related. 4) Oullette Wealth Advisory LLC. 35 Bedford St, Suite 16, Lexington, MA 02420. RIA. Chief Compliance Officer.160 hrs/mo; 130 during trading hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Ouellette'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®
Experience
Current
September 21, 2017 - Present
OUELLETTE WEALTH ADVISORY LLC
Office #1: 35 Bedford St Suite 16, Lexington, MA 02420RIA
CRD#: 289242
Lexington, MA
Current
April 11, 2025 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 35 Bedford Street, Suite 16, Lexington, MA 02420RIA
BD
CRD#: 120222
Lexington, MA
Past
August 23, 2024 - April 15, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
Lexington, MA
Past
November 20, 2015 - April 2, 2018
TRIAD ADVISORS LLC
RIA
CRD#: 25803
Lexington, MA
Past
November 13, 2015 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Lexington, MA
Past
February 21, 2006 - November 20, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEXINGTON, MA
Past
May 10, 1995 - November 20, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
LEXINGTON, MA
Past
May 9, 1995 - May 31, 1995
LPL FINANCIAL LLC
BD
CRD#: 6413
Past
September 27, 1993 - August 2, 1995
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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".
OW
OUELLETTE WEALTH ADVISORY LLC
OUELLETTE WEALTH ADVISORY LLC | OUELLETTE WEALTH MANAGEMENT GROUP
CRD#: 289242 / SEC#: 801-120970
RIA
Registered Investment Advisory firm - (4/29/2021 Approved)California
Registered Investment Advisory firm - (7/15/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (6/15/2021 Terminated)Texas
Registered Investment Advisory firm - (6/15/2021 Terminated)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.RR
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
RR
California(4/11/2025)
RR
Delaware(4/11/2025)
RR
Florida(4/11/2025)
RR
Georgia(4/11/2025)
RR
Maine(4/11/2025)
IAR
Massachusetts(9/21/2017)
RR
Massachusetts(4/11/2025)
RR
Nevada(4/11/2025)
RR
New Hampshire(4/11/2025)
RR
New Jersey(4/11/2025)
RR
New Mexico(4/11/2025)
RR
New York(4/11/2025)
RR
North Carolina(4/16/2025)
RR
Rhode Island(4/11/2025)
RR
South Carolina(4/11/2025)
IAR
Texas(12/2/2019)
RR
Texas(4/11/2025)
RR
Virginia(4/11/2025)
RR
Wisconsin(4/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OW
OUELLETTE WEALTH ADVISORY LLC
OUELLETTE WEALTH ADVISORY LLC | OUELLETTE WEALTH MANAGEMENT GROUP
CRD#: 289242 / SEC#: 801-120970
RIA
Registered Investment Advisory firm - (4/29/2021 Approved)California
Registered Investment Advisory firm - (7/15/2021 Terminated)Massachusetts
Registered Investment Advisory firm - (6/15/2021 Terminated)Texas
Registered Investment Advisory firm - (6/15/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
35 Bedford St Suite 16, Lexington, MA 02420
Mailing Address
Phone number
(781) 861-0766
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 714 |
| AUM (Assets Under Management) | $ 220,716,612 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
OUELLETTE WEALTH ADVISORY LLC
CRD#: 289242Lexington, MA 02420TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
