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Tony Matthew Oommen

Tony M. Oommen

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CRD#: 3093443
Tony Matthew Oommen

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Tony Matthew Oommen, CFP® was a registered financial professional .

Tony is a previously registered financial professional and started their career in finance in 1998. Tony had worked at 8 firms and has passed the Series 63, Series 66, Series 65, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
OBA-69242|OrgNmn:Chicago Estate Planning Council|Org Addr:Chicago,Illinois,US|OBA Nature:The Chicago Estate Planning Co|Invst Rel:N|Title:Member of the board of directors|Duties:As a board member, responsible for the governance of the CEPC, a non-profit professional association|StrtDt:08-01-22|TotHrs/mon:3|TrdHrs/mon:2|OBA-68942|OrgNmn:DuPage County Estate Planning Council|Org Addr:Oak Brook,Illinois,US|OBA Nature:Association for the estate pla|Invst Rel:N|Title:Member of board of directors - Tr|Duties:Treasurer for September 2022 to June 2023. Report on financial activities of the organzation to the rest of the board. Work with the adminis|StrtDt:09-01-22|TotHrs/mon:5|TrdHrs/mon:0|OBA-117504|OrgNmn:Greenhouse Scholars|Org Addr:Boulder,Colorado,US|OBA Nature:Greenhouse Scholars is a chari|Invst Rel:N|Title:Member of the Illinois Developmen|Duties:I serve as a volunteer on a "development and advisory board". This is an non-governing board of professionals from various industries that hel|StrtDt:06-24-19|TotHrs/mon:0.5|TrdHrs/mon:0|

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2004

Experience

Past

March 31, 2025 - November 13, 2025

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
OAK BROOK, IL
Past

October 21, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
OAK BROOK, IL
Past

October 2, 2022 - November 13, 2025

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
OAK BROOK, IL
Past

April 27, 2011 - March 21, 2014

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
CHICAGO, IL
Past

April 27, 2011 - March 21, 2014

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CHICAGO, IL
Past

March 21, 2007 - February 15, 2008

JOHN D. DOVICH & ASSOCIATES, LLC

RIA
CRD#: 120458
CINCINNATI, OH
Past

February 13, 2007 - February 28, 2007

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
CINCINNATI, OH
Past

February 12, 2007 - February 15, 2008

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
CINCINNATI, OH
Past

June 16, 2003 - January 22, 2007

OSAIC FA, INC.

RIA
CRD#: 3978
CINCINNATI, OH
Past

June 16, 2003 - May 3, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

June 16, 2003 - January 22, 2007

OSAIC FA, INC.

BD
CRD#: 3978
CINCINNATI, OH
Past

August 27, 1998 - November 1, 2002

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/6/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/14/2011
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/20/2003
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/1/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/23/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/26/2011
General Securities Representative Examination

Current Firm

SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)
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Contact information

Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)
FIDELITY STRATEGIC DISCIPLINES (11/10/2025)
FIDELITY WEALTH SERVICES (9/10/2025)
STRATEGIC ADVISERS LLC (9/10/2025)
FIDELITY MANAGED FIDFOLIOS (3/31/2025)
FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)
FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,486,631
AUM (Assets Under Management)$ 1,067,664,605,590

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/24/2025
Cover Page
Report

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.

Company Information

STRATEGIC ADVISERS LLC

CRD#: 104555

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