Thomas M. Harrington

KEB WEALTH ADVISORS

O'FALLON, IL 62269

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CRD#: 2681609

Professional summary

Thomas Michael Harrington, who also goes by Tom Harrington, is a registered financial advisor currently at KEB WEALTH ADVISORS located in O'fallon, Illinois.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Thomas has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Harrington

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.

KERBER, ECK & BRAECKEL LLP; NOT INVESTMENT RELATED; 4111 N. ILLINOIS STREET, SUITE B; PARTNER; SINCE 11/1/2005; 45 HRS/MTH; OPERATE AND OVERSEE FIRM DUTIES AND DELEGATE RESPONSIBILITIES TO MANAGERS AND STAFF. HOLY FAMILY CATHOLIC CHURCH; NOT INVESTMENT RELATED; 2606 WASHINGTON AVENUE; FINANCE COMMITTEE; SINCE 01/01/2006; 1 HR/MTH; PARTICIPATE IN CHURCH FUNCTIONS TO HELP GROW THE PARISH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Harrington'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

January 3, 2019 - Present

KEB WEALTH ADVISORS

Office #1: 852 Cambridge Blvd Suite 100, O'fallon, IL 62269

RIA

CRD#: 117935

O'FALLON, IL

Past

October 15, 2001 - August 2, 2005

MARTIN WIER, INC

RIA

CRD#: 118381

SWANSEA, IL

Past

March 30, 2001 - August 15, 2018

OSAIC WEALTH, INC.

RIA

CRD#: 23131

O'FALLON, IL

Past

January 30, 1996 - August 15, 2018

OSAIC WEALTH, INC.

CRD#: 23131

O'FALLON, IL

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".

KEB WEALTH ADVISORS

KEB ASSET MANAGEMENT, LLC | KEB WEALTH ADVISORS

CRD#: 117935 / SEC#: 801-62965

RIA

Registered Investment Advisory firm - (4/7/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/4/2004 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).

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

Illinois
(1/3/2019)

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: 1/20/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/26/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 1/25/2007

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 12/5/2006

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/29/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KEB WEALTH ADVISORS

KEB ASSET MANAGEMENT, LLC | KEB WEALTH ADVISORS

CRD#: 117935 / SEC#: 801-62965

RIA

Registered Investment Advisory firm - (4/7/2004 Approved)

Illinois

Registered Investment Advisory firm - (5/4/2004 Terminated)

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Contact information

Main Address

3200 Robbins Road Suite 200a, Springfield, IL 62704

Mailing Address

Phone number

(217) 789-0960

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEB FORM ADV PART 2A (1/30/2025)

Regulatory assets under management

Total Number of Accounts	2,168
AUM (Assets Under Management)	$ 1,058,282,823

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 M. Harrington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Harrington's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARTIN WIER, INC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

KEB WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/2001

Series 63

Date: 1/26/1996

SIE

Date: 8/15/2018

Series 62

Date: 1/25/2007

Series 22

Date: 12/5/2006

Series 6

Date: 1/29/1996

Current Firm

KEB WEALTH ADVISORS

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEB WEALTH ADVISORS

TRUST BUT VERIFY

Contact information

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