Thomas A. Sawyer

WELLTH ADVISORY SERVICES

Providence, RI 02903

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CRD#: 3021294

Professional summary

Thomas Alfred Sawyer, AIF® is a registered financial advisor currently at WELLTH ADVISORY SERVICES, LLC located in Providence, Rhode Island and LPL FINANCIAL LLC located in Providence, Rhode Island.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 12 firms and has passed the Series 66, Series 63, SIE, 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.

1)03/12/2025 - Strategic Retirement Partners - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)03/12/2025 - Notary - State of MA - Inv Rel - Start: 10/2024 3.06/05/2025 - WellTh Advisory Services, LLC - Investment Related - Registered Investment Advisor Hybrid - At Reported Business Location(s) - Start Date:03/10/2025 - 160 Hrs/Mth - 8 Hrs During Trading - I provide investment advisory services through WELLth Advisory Services, LLC, an independent investment advisor firm. I started this business activity in 3/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Alfred Sawyer'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

March 27, 2025 - Present

WELLTH ADVISORY SERVICES, LLC

Office #1: 42 Weybosset St Ph Level, Providence, RI 02903

RIA

CRD#: 330537

Providence, RI

Current

March 19, 2025 - Present

LPL FINANCIAL LLC

Office #1: 42 Weybosset St Ph Level, Providence, RI 02903

RIA

CRD#: 6413

Providence, RI

Past

June 13, 2018 - December 31, 2022

PEOPLE'S UNITED ADVISORS, INC.

RIA

CRD#: 292454

Boston, MA

Past

December 15, 2017 - March 31, 2020

PEOPLE'S SECURITIES, INC.

RIA

CRD#: 13704

Boston, MA

Past

November 8, 2016 - September 12, 2022

PEOPLE'S SECURITIES, INC.

CRD#: 13704

Boston, MA

Past

October 5, 2006 - April 22, 2016

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

NATICK, MA

Past

August 4, 2005 - August 29, 2006

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

WALTHAM, MA

Past

April 4, 2005 - August 29, 2006

PRINCIPAL SECURITIES, INC.

CRD#: 1137

WALTHAM, MA

Past

October 20, 2004 - April 8, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

December 12, 2003 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

July 31, 2002 - August 18, 2003

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

August 30, 2000 - November 5, 2001

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

March 8, 1999 - August 8, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

May 15, 1998 - December 22, 1998

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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".

WELLTH ADVISORY SERVICES, LLC

STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC

CRD#: 330537 / SEC#: 801-130037

RIA

Registered Investment Advisory firm - (4/26/2024 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

Connecticut
(3/20/2025)

IAR

Connecticut
(6/24/2025)

Massachusetts
(3/25/2025)

IAR

Massachusetts
(3/27/2025)

Rhode Island
(3/24/2025)

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

State Security Law Exam

IAR

Series 66

Date: 8/3/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/30/1998

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: 7/21/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/14/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

WELLTH ADVISORY SERVICES, LLC

STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC

CRD#: 330537 / SEC#: 801-130037

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

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Contact information

Main Address

Shorewood, IL

Mailing Address

Phone number

(866) 777-4015

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WELLTH ADV WRAP BROCHURE (3/31/2025)

WELLTH ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,338
AUM (Assets Under Management)	$ 23,574,040,155

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 A. Sawyer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Alfred Sawyer's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

PEOPLE'S UNITED ADVISORS, INC.

PEOPLE'S SECURITIES, INC.

PEOPLE'S SECURITIES, INC.

TRANSAMERICA INVESTORS SECURITIES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

GUARDIAN INVESTOR SERVICES LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

SIGNATOR INVESTORS, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

WELLTH ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/3/2005

Series 63

Date: 9/30/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/21/2000

Series 6

Date: 5/14/1998

FINRA

Current Firm

WELLTH ADVISORY SERVICES, LLC

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WELLTH ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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