Thomas J. Zaleski

THOMAS CAPITAL MANAGEMENT

Scottsdale, AZ

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CRD#: 2649845

Professional summary

Thomas Joseph Zaleski SR, who also goes by Thomas Joseph Zalesk Sr, Thomas Joseph Sr Zaleski, is a registered financial advisor currently at THOMAS CAPITAL MANAGEMENT, LLC located in Scottsdale, Arizona.

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 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Joseph Zalesk Sr | Thomas Joseph Sr Zaleski

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 Joseph Zaleski SR'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

November 9, 1999 - Present

THOMAS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 113830

Scottsdale, AZ

Past

November 9, 1999 - December 31, 2006

THOMAS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 113830

SCOTTSDALE, AZ

Past

November 10, 1998 - December 22, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 12, 1998 - October 9, 1998

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

October 17, 1995 - January 26, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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

Arizona
(11/9/1999)

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: 11/1/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/23/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/16/1995

General Securities Representative Examination

Current Firm

THOMAS CAPITAL MANAGEMENT, LLC

CRD#: 113830 / SEC#:

Arizona

Registered Investment Advisory firm - (11/3/1999 Approved)

North Carolina

Registered Investment Advisory firm - (12/17/2015 Terminated)

Texas

Registered Investment Advisory firm - (12/6/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Scottsdale, AZ

Mailing Address

Phone number

(520) 360-1405

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 9,745,524

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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Thomas J. Zaleski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Zaleski SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

THOMAS CAPITAL MANAGEMENT, LLC

THOMAS CAPITAL MANAGEMENT, LLC

MORGAN STANLEY DW INC.

WELLS FARGO SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/1/1995

Series 63

Date: 10/23/1995

Series 7

Date: 10/16/1995

Current Firm

THOMAS CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THOMAS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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