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Tom H. Sleeter
RUGGAARD & ASSOCIATES
OAK BROOK, IL 60523
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CRD#: 3176055
TS
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.
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.
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
CRS (Client Relationship Summary) - RIA
Click below to view Tom Howard Sleeter'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®
Experience
Current
January 3, 2023 - Present
RUGGAARD & ASSOCIATES
Office #1: 1200 Harger Road Ste 222, Oak Brook, IL 60523RIA
CRD#: 107489
OAK BROOK, IL
Past
October 1, 2018 - December 16, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
OAK BROOK, IL
Past
April 12, 2007 - December 31, 2022
TOTAL CLARITY WEALTH MANAGEMENT, INC
RIA
CRD#: 142728
OAK BROOK, IL
Past
October 27, 2003 - December 31, 2012
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
OAK BROOK, IL
Past
April 13, 1999 - October 2, 2018
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
OAK BROOK, IL
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 - (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.Highlighted states indicate IAR registrations
IAR
Illinois(1/3/2023)
IAR
Texas(1/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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 - (3/31/1993 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
110 W Streetsboro St. Suite 1a, Hudson, OH 44236
Mailing Address
Phone number
(330) 487-5888
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 945 |
| AUM (Assets Under Management) | $ 346,919,733 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
