Thomas M. Hallberg

WEALTH TRANSITIONS

FOREST LAKE, MN

Some features on this profile are disabled

CRD#: 3053755

Professional summary

Thomas Michael Hallberg, who also goes by Tom Hallberg, is a registered financial advisor currently at WEALTH TRANSITIONS located in Forest Lake, Minnesota.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Thomas has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Hallberg

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.

THOMAS HALLBERG SOLE PROPRIETOR; 02/2023; NON-INVESTMNET RELATED; FORREST LAKE, MN; LIFE AND SPIRITUAL COACHING/PUBLIC SPEAKER; 15 HOURS/MOUTSIDE OF TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Hallberg'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 5, 2024 - Present

WEALTH TRANSITIONS

RIA

CRD#: 333628

FOREST LAKE, MN

Past

December 10, 2013 - February 3, 2023

EDWARD JONES

RIA

CRD#: 250

Forest lake, MN

Past

June 16, 1998 - February 3, 2023

EDWARD JONES

CRD#: 250

Forest lake, MN

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

Minnesota
(12/18/2024)

IAR

Texas
(11/5/2024)

IAR

Wisconsin
(1/23/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/29/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/1998

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: 6/15/1998

General Securities Representative Examination

Current Firm

WEALTH TRANSITIONS

THOMAS M HALLBERG, LLC | WEALTH TRANSITIONS

CRD#: 333628 / SEC#:

Minnesota

Registered Investment Advisory firm - (12/18/2024 Approved)

Texas

Registered Investment Advisory firm - (11/5/2024 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (1/22/2025 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Forest Lake, MN

Mailing Address

Po Box 731, Forest Lake, MN 55025

Phone number

(651) 237-2880

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

(xxx) xxx-xxxx

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas M. Hallberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

WEALTH TRANSITIONS

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/2024

Series 63

Date: 6/18/1998

SIE

Date: 10/1/2018

Series 7

Date: 6/15/1998

Current Firm

WEALTH TRANSITIONS

Contact information

Documents

Red Flags

Company Information

WEALTH TRANSITIONS

TRUST BUT VERIFY

Contact information

Similar Advisors