TP
Thomas J. Papa
OAKTRUST WEALTH ADVISORS
Wilton, CT
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CRD#: 3222264
TP
Professional summary
Thomas John Papa is a registered financial advisor currently at OAKTRUST WEALTH ADVISORS, LLC located in Wilton, Connecticut and LPL FINANCIAL LLC located in Wilton, Connecticut.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Thomas has worked at 3 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 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. 09/04/2012: TRAVEL BY HELEN, LLC - OTHER-TRAVEL AGENT - NOT INV REL - AT REPORTED BUSINESS LOCATION - Provide travel related services in an "agent:" capacity - 1% TIME SPENT.
2. 10/15/2014: OAKTRUST WEALTH ADVISORS, LLC - INV REL - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR: (HYBRID) OAKTRUST WEALTH ADVISORS, LLC - 50% OF TIME SPENT - INVESTMENT ADVISER REPRESENTATIVE: ACTIVITIES MAY INCLUDE FINANCIAL PLANNING, RENDERING INVESTMENT ADVICE FOR A FEE, RETIREMENT PLAN CONSULTING OR OTHER RELATED FINANCIAL CONSULTING.
3. 05/06/2015: BSMG - NOT INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - OBA START 9/30/2005 - 2 HRS PER MONTH/2 HRS DURING TRADING - a. Agent b. BSMG - but may use others c. Yes, but may also be paid at agency level. Split commissions with Nick Zizzadoro (rep id 3EGA) d. No.
4. 5/18/2017 - OakTrust Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/15/2017 - 80 Hours Per Month/4 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas John Papa'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®
NoneExperience
Current
July 21, 2014 - Present
OAKTRUST WEALTH ADVISORS, LLC
RIA
CRD#: 170827
Wilton, CT
Current
February 10, 2003 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
WILTON, CT
Past
September 27, 2005 - October 29, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
DIX HILLS, NY
Past
September 26, 2002 - February 27, 2003
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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".
OW
OAKTRUST WEALTH ADVISORS, LLC
OAKTRUST WEALTH ADVISORS, LLC | PAPA, THOMAS J.
CRD#: 170827 / SEC#: 801-110788
RIA
Registered Investment Advisory firm - (7/13/2017 Approved)Connecticut
Registered Investment Advisory firm - (7/14/2017 Terminated)New Jersey
Registered Investment Advisory firm - (8/1/2017 Terminated)New York
Registered Investment Advisory firm - (7/14/2017 Terminated)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.RR
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
RR
Arizona(9/6/2013)
RR
California(6/11/2003)
RR
Colorado(1/7/2013)
RR
Connecticut(2/10/2003)
IAR
Connecticut(7/31/2014)
RR
Delaware(10/20/2015)
RR
Florida(9/24/2003)
RR
Georgia(8/6/2004)
RR
Maryland(1/30/2004)
RR
Massachusetts(2/10/2003)
RR
Michigan(4/20/2004)
RR
Minnesota(7/26/2013)
RR
New Hampshire(1/23/2012)
RR
New Jersey(2/10/2003)
RR
New York(2/10/2003)
RR
North Carolina(3/11/2005)
RR
Pennsylvania(3/11/2005)
RR
Rhode Island(1/2/2009)
RR
South Carolina(4/1/2009)
RR
Vermont(1/20/2006)
RR
Washington(4/27/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OW
OAKTRUST WEALTH ADVISORS, LLC
OAKTRUST WEALTH ADVISORS, LLC | PAPA, THOMAS J.
CRD#: 170827 / SEC#: 801-110788
RIA
Registered Investment Advisory firm - (7/13/2017 Approved)Connecticut
Registered Investment Advisory firm - (7/14/2017 Terminated)New Jersey
Registered Investment Advisory firm - (8/1/2017 Terminated)New York
Registered Investment Advisory firm - (7/14/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Wilton, CT
Mailing Address
Phone number
(203) 563-0044
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 470 |
| AUM (Assets Under Management) | $ 257,746,522 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
