Thomas P. Steeley

STEELEY ADVISORY

Bethesda, MD 20814

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CRD#: 2911298

Professional summary

Thomas Paul Steeley, who also goes by Thomas Paul Steeley Jr, is a registered financial advisor currently at STEELEY ADVISORY, LLC located in Bethesda, Maryland.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Thomas has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Paul Steeley Jr

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.

I own and manage a CPA practice that advises clients on tax and business matters. No assurance or audit services are provided. I also operate a shared suite, Business Center, LLC,that provides turn-key work and office solutions for independent business owners. No commissions from either activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Paul Steeley'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

September 27, 2019 - Present

STEELEY ADVISORY, LLC

Office #1: 7272 Wisconsin Avenue Ninth Floor, Bethesda, MD 20814

RIA

CRD#: 304870

Bethesda, MD

Past

July 23, 1997 - September 30, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BETHESDA, MD

Past

July 7, 1997 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 7, 1997 - September 30, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BETHESDA, MD

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

Maryland
(9/27/2019)

IAR

Virginia
(12/23/2019)

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: 7/14/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/14/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/3/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/15/2002

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 8/12/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 3/5/2001

General Securities Principal Examination

Current Firm

STEELEY ADVISORY, LLC

SMG ADVISORY, LLC | STEELEY ADVISORY, LLC | STEELEY

CRD#: 304870 / SEC#:

Maryland

Registered Investment Advisory firm - (8/16/2019 Approved)

Texas

Registered Investment Advisory firm - (8/1/2019 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (12/23/2019 Approved)

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Contact information

Main Address

7272 Wisconsin Avenue Ninth Floor, Bethesda, MD 20814

Mailing Address

Phone number

(301) 263-8519

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	90
AUM (Assets Under Management)	$ 21,419,836

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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Advisor Monitoring

Firm Stability Insights

Thomas P. Steeley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Paul Steeley's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/1997

Series 63

Date: 7/14/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/3/1997

Series 9

Date: 8/15/2002

Series 10

Date: 8/12/2002

Series 24

Date: 3/5/2001

Current Firm

STEELEY ADVISORY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STEELEY ADVISORY, LLC

TRUST BUT VERIFY

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