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Tom Howard Sleeter

AIF®
RUGGAARD & ASSOCIATES
OAK BROOK, IL
·CRD# 3176055·27 years experience

Professional Summary

Tom Howard Sleeter, AIF® is a registered financial advisor currently at RUGGAARD & ASSOCIATES located in Oak Brook, Illinois. Tom is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Tom has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

AIF®
Accredited Investment Fiduciary

Years of Experience

27 years in the financial services industry

Current & Past Employments

RUGGAARD & ASSOCIATES·CRD# 107489
RIA
1200 Harger Road Suite 711, Oak Brook, IL 60523
January 3, 2023 - Present
LPL FINANCIAL LLC·CRD# 6413
BD
Oak Brook, IL
October 1, 2018 - December 16, 2021
TOTAL CLARITY WEALTH MANAGEMENT, INC·CRD# 142728
RIA
Oak Brook, IL
April 12, 2007 - December 31, 2022
CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
Oak Brook, IL
October 27, 2003 - December 31, 2012
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Oak Brook, IL
April 13, 1999 - October 2, 2018

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Current Firm

R&
RUGGAARD & ASSOCIATES

RUGGAARD & ASSOCIATES | RUGGAARD & ASSOCIATES, LLC | RUGGAARD & ASSOCIATES, INC. | RUGGAARD & ASSOCIATES INC

CRD#: 107489 / SEC#: 801-43618
RIA
Registered Investment Advisory firm - SEC (3/31/1993 Approved)

Contact Information

Main Address

110 W Streetsboro St. Suite 1a, Hudson, OH 44236

Phone Number

(330) 487-5888

# of Employees

10

SEC notice filing (12 States and Territories)

Registered to provide investment advisory services in 12 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2026-03-30 RUGGAARD & ASSOCIATES FORM ADV PART 2A (3/30/2026)

Regulatory Assets Under Management

Total Number of Accounts

998

AUM (Assets Under Management)

$368,561,588

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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.

SLEETER FARMS NEBRASKA, INC not investment-related private residence in Downers Grove, IL farming President & Director start date 6/1/2008 15 hours per month minimal hours during trading manage tenant relations, negotiate with crop insurance firms, handle taxes and Dept of Agriculture paperwork SLEETER FAMILY FARM CORPORATION not investment-related private residence in Downers Grove, IL farming President & Director start date 4/10/1991 2 hours per month 0 hours during trading tenant relations HEARTLAND CAPITAL RESOURCES, INC. not investment-related 1200 Harger Road, Ste 222, Oak Brook, IL 61523 business entity: prepares valuation studies and is the entity that rents the office space President & Director start date October 1992 10 hours per month 1 hour during trading pay bills for office rent and employees SLEETER-DRUMMOND LLC not investment-related Drummond Island, MI real estate rental Managing Member start date 2/7/2019 4 hours per month 0 hours during trading co-own and operate a rental vacation home on Drummond Island, MI ESPANORE ISLAND CLUB not investment-related private residence on Espanore Island, MI non-profit organization to utilize recreational land Board Member & Director start date 1972 1 hour per month 0 hours during trading review annual members dues and assessments, review financial reports of the island, and study and approve needed capital improvements to the island NORTH PROVIDENCE RIDGE CEMETARY ASSOCIATION not investment-related Jackson Township, IL 60421 non-profit: cemetery association Board Member start date 9/3/1975 1 hour per month 0 hours during trading oversee management of small rural cemetery

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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".
R&
RUGGAARD & ASSOCIATES

RUGGAARD & ASSOCIATES | RUGGAARD & ASSOCIATES, LLC | RUGGAARD & ASSOCIATES, INC. | RUGGAARD & ASSOCIATES INC

CRD#: 107489 / SEC#: 801-43618
RIA
Registered Investment Advisory firm - SEC (3/31/1993 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.
IAR
Illinois
(1/3/2023)
IAR
Texas
(1/3/2023)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Dec 1999About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1999About the Series 7 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Tom Howard Sleeter's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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