Thomas W. Kaiser

GARLIKOV ADVISORS

Columbus, OH 43215

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CRD#: 2830241

Professional summary

Thomas Walter Kaiser, who also goes by Thomas W Kaiser, is a registered financial advisor currently at GARLIKOV ADVISORS INC located in Columbus, Ohio and THE LEADERS GROUP, INC. located in Columbus, Ohio.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 4 firms and has passed the SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas W Kaiser

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) GARLIKOV & ASSOCIATES INC - 03/4/1991 - 41 South High Street, Suite 3400, Columbus, OH 43215 - Financial Design Analyst, Invt rel, Insurance Business, Help design the Life Insurance Programs for Producer & also help service the existing policies by doing the annual policy reviews including running in force illustrations, Invt Rel, Life Ins Agency/Insurance Business, 160 hrs/mo; 160 hrs/mo (during trading hours) 2) GARLIKOV ADVISORS INC - 10/15/2010 - 41 South High Street, Suite 3400, Columbus, OH 43215 - Invt Related, IAR Business, IAR Rep, APPROX: 40 hrs/mo; 40 hrs/mo (during trading hours). 3.) TK CRAFTSMANSHIP - 4/1/2019 - 41 S High Street, Suite 3400, Columbus OH 43215 - Consultant for Garlikov & Assoc Inc, Sole Proprietary/Consultant, Financial Design Analyst, Invt Rel, 90 hrs/mo; 42 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Walter Kaiser'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

May 4, 2011 - Present

GARLIKOV ADVISORS INC

Office #1: 41 S High St Ste 3400, Columbus, OH 43215

RIA

CRD#: 112352

Columbus, OH

Current

March 7, 2018 - Present

THE LEADERS GROUP, INC.

Office #1: 41 S High Street Suite 3400, Columbus, OH 43215

CRD#: 37157

Columbus, OH

Past

January 25, 2013 - March 8, 2018

M HOLDINGS SECURITIES, INC.

CRD#: 43285

COLUMBUS, OH

Past

July 7, 1999 - January 28, 2013

GA FINANCIAL, INC.

CRD#: 42293

COLUMBUS, OH

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".

GARLIKOV ADVISORS INC

GARLIKOV ADVISORS | GARLIKOV ADVISORS INC

CRD#: 112352 / SEC#: 801-19290

RIA

Registered Investment Advisory firm - (7/14/1983 Approved)

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.

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

IAR

Ohio
(5/4/2011)

Ohio
(3/7/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/6/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/3/2001

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

GARLIKOV ADVISORS INC

GARLIKOV ADVISORS | GARLIKOV ADVISORS INC

CRD#: 112352 / SEC#: 801-19290

RIA

Registered Investment Advisory firm - (7/14/1983 Approved)

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Contact information

Main Address

41 S High St Ste 3400, Columbus, OH 43215

Mailing Address

Phone number

(614) 221-0900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADVISORS FORM ADV PART B - STAFF SUPPLEMENT 12 31 2024 (3/17/2025)

ADVISORS PART 2A FORM ADV 12 31 2024 (3/17/2025)

Regulatory assets under management

Total Number of Accounts	194
AUM (Assets Under Management)	$ 165,329,375

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 W. Kaiser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Walter Kaiser's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

M HOLDINGS SECURITIES, INC.

GA FINANCIAL, INC.

Primary Firm SEC Registration

GARLIKOV ADVISORS INC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 7/6/1999

Series 26

Date: 4/3/2001

FINRA

Current Firm

GARLIKOV ADVISORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GARLIKOV ADVISORS INC

TRUST BUT VERIFY

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