Thomas J. Birath

BIRATH WEALTH MANAGEMENT

Marshall, MN 56258

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CRD#: 2619906

Professional summary

Thomas Jack Birath is a registered financial advisor currently at BIRATH WEALTH MANAGEMENT, LLC located in Marshall, Minnesota.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Thomas has worked at 4 firms and has passed the Series 66, Series 63, Series 7 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 Jack Birath'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

April 26, 2011 - Present

BIRATH WEALTH MANAGEMENT, LLC

Office #1: 408 East Main Street Bldg. 100 Suite 5, Marshall, MN 56258

RIA

CRD#: 157328

Marshall, MN

Past

April 8, 2009 - September 28, 2009

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

MARSHALL, MN

Past

March 10, 2009 - September 28, 2009

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

MARSHALL, MN

Past

May 2, 2001 - May 4, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

July 12, 1999 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

August 18, 1995 - July 12, 1999

ARK FUNDS DISTRIBUTORS, LLC

CRD#: 17685

PORTLAND, ME

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
(8/5/2016)

IAR

South Dakota
(4/26/2011)

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 66

Date: 4/6/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/9/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/17/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BIRATH WEALTH MANAGEMENT, LLC

BIRATH WEALTH MANAGEMENT | BIRATH WEALTH MANAGEMENT, LLC

CRD#: 157328 / SEC#:

Minnesota

Registered Investment Advisory firm - (5/17/2011 Approved)

South Dakota

Registered Investment Advisory firm - (4/25/2011 Approved)

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Contact information

Main Address

408 East Main Street Bldg. 100 Suite 5, Marshall, MN 56258

Mailing Address

Phone number

(507) 929-8543

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	292
AUM (Assets Under Management)	$ 85,896,142

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas J. Birath

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Jack Birath's CRS (Customer Relationship Summary).

Certified licenses

Experience

BIRATH WEALTH MANAGEMENT, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

ARK FUNDS DISTRIBUTORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/6/2009

Series 63

Date: 8/17/1995

Series 7

Date: 3/9/2009

Series 6

Date: 8/17/1995

Current Firm

BIRATH WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BIRATH WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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