TW
Thomas M. Wiseman
U.S. BANCORP ADVISORS
Ada, OH 45810
Some features on this profile are disabled
CRD#: 2524307
TW
Professional summary
Thomas Michael Wiseman, who also goes by Tom Wiseman, is a registered financial advisor currently at U.S. BANCORP ADVISORS, LLC located in Ada, Ohio.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Wiseman
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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Michael Wiseman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Michael Wiseman'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®
NoneExperience
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 528 S Main St, Ada, OH 45810Office #2: 818 S Shannon, Van Wert, OH 45891Office #3: 108 S Mill St, Botkins, OH 45306Office #4: 26 S Main St, Fort Loramie, OH 45845Office #5: 901 Elida Ave, Delphos, OH 45833RIA
BD
CRD#: 14455
Ada, OH
Current
February 13, 2026 - Present
U.S. BANCORP ADVISORS, LLC
Office #1: 528 S Main St, Ada, OH 45810Office #2: 818 S Shannon, Van Wert, OH 45891Office #3: 108 S Mill St, Botkins, OH 45306Office #4: 26 S Main St, Fort Loramie, OH 45845Office #5: 901 Elida Ave, Delphos, OH 45833RIA
BD
CRD#: 14455
Ada, OH
Past
August 12, 2019 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Ada, OH
Past
July 29, 2019 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Ada, OH
Past
August 21, 2012 - August 9, 2019
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
PIQUA, OH
Past
August 15, 2012 - August 9, 2019
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
PIQUA, OH
Past
October 10, 2008 - August 9, 2012
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
FINDLAY, OH
Past
June 7, 2005 - October 23, 2006
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
GREENVILLE, OH
Past
March 2, 2005 - May 18, 2005
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
CENTERVILLE, OH
Past
February 28, 2005 - May 18, 2005
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
July 30, 2004 - March 7, 2005
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
January 6, 2004 - August 4, 2004
NCF FINANCIAL SERVICES, INC.
RIA
CRD#: 120471
NASHVILLE, TN
Past
January 6, 2004 - August 4, 2004
NCF FINANCIAL SERVICES, INC.
BD
CRD#: 120471
DURHAM, NC
Past
November 5, 2003 - December 31, 2003
L.M. KOHN & COMPANY
BD
CRD#: 27913
CINCINNATI, OH
Past
February 18, 2003 - October 21, 2003
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
CINCINNATI, OH
Past
October 25, 2001 - October 21, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
July 11, 2001 - October 23, 2001
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
May 31, 2000 - July 2, 2001
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
Past
May 13, 1998 - May 31, 2000
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
November 16, 1995 - November 14, 1997
CONSECO SECURITIES, INC.
BD
CRD#: 29367
CARMEL, IN
Past
August 24, 1994 - November 1, 1995
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 24, 1994 - November 1, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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(2/13/2026)
RR
Colorado(2/13/2026)
RR
District of Columbia(2/13/2026)
RR
Florida(2/17/2026)
RR
Georgia(2/13/2026)
RR
Illinois(2/13/2026)
RR
Indiana(2/13/2026)
RR
Iowa(2/13/2026)
RR
Michigan(2/13/2026)
RR
Minnesota(2/13/2026)
RR
Mississippi(2/13/2026)
RR
Missouri(2/13/2026)
RR
Nevada(2/13/2026)
RR
North Carolina(2/13/2026)
RR
Ohio(2/13/2026)
IAR
Ohio(2/13/2026)
RR
Pennsylvania(2/13/2026)
RR
South Carolina(2/13/2026)
RR
Texas(2/13/2026)
IAR
Texas(2/13/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP ADVISORS, LLC
MARKET INVESTMENT SERVICES CORPORATION | UNIONBANC INVESTMENT SERVICES, LLC | UNION BANK OF CALIFORNIA NA | UBOC INVESTMENT SERVICES, INC. | UB INVESTMENT SERVICES, INC. | U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
RIA
Registered Investment Advisory firm - SEC (8/14/2009 Approved)California
Registered Investment Advisory firm - SEC (8/28/2009 Terminated)Washington
Registered Investment Advisory firm - SEC (8/24/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
800 N Brand Blvd. 16th Floor 16th Floor, Glendale, CA, 91203
Mailing Address
800 N Brand Blvd. 16th Floor, Glendale, CA, 91203
Phone number
(800) 634-1100
Established
Delaware since 06/28/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
244
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
