Thomas J. Proos

STRAIGHT PATH WEALTH MANAGEMENT

Jenison, MI 49428

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CRD#: 3238215

Professional summary

Thomas James Proos, CPWA®, who also goes by Thomas Proos, is a registered financial advisor currently at STRAIGHT PATH WEALTH MANAGEMENT located in Jenison, Michigan.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Thomas has worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Proos

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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 1/2018 APX NUMBER OF HOURS PER WEEK: 2.5 APX NUMBER OF HOURS DURING TRADING HOURS: 2.5 POSITION/TITLE/RELAT 2. NAME OF OTHER BUSINESS: KANAI/PROOS PROPERTIES, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: OFFICE LEASE START DATE: 2/2009 APX NUMBER OF HOURS PER WEEK: 2 HOURS A MONTH APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: MANAGE OFFICE LEASE 3. Agent; Ash Brokerage/Pacific Life; Investment Related: Yes; Location: 1344 Baldwin ST, Jenison MI. 49428; Description of the business: Sale of life insurance, fixed and indexed annuities, and long term care products; Responsibilities Duties: Sale of life insurance, fixed and indexed annuities, and long term care insurance to complete financial and estate planning needs.; Start date with business: 2021-01-01; Hours devoted to business during trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 5;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Proos's CRS (Customer Relationship Summary).

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®

CPWA^®

Certified Private Wealth Advisor

Start date: 2011-04-21

Expire date: 2023-03-31

Experience

Current

July 27, 2020 - Present

STRAIGHT PATH WEALTH MANAGEMENT

Office #1: 7699 Georgetown Center Drive, Jenison, MI 49428

RIA

CRD#: 148897

Jenison, MI

Past

April 9, 2018 - July 16, 2019

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

GRAND RAPIDS, MI

Past

April 9, 2018 - July 21, 2020

CWM, LLC

RIA

CRD#: 155344

Grand Rapids, MI

Past

April 9, 2018 - July 24, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

GRAND RAPIDS, MI

Past

September 20, 2010 - April 16, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

GRAND RAPIDS, MI

Past

November 2, 2005 - April 16, 2018

LPL FINANCIAL LLC

CRD#: 6413

GRAND RAPIDS, MI

Past

October 3, 2003 - October 31, 2005

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

March 17, 2003 - September 3, 2003

KEYBANC CAPITAL MARKETS INC.

RIA

CRD#: 566

GRAND RAPIDS, MI

Past

March 17, 2003 - September 3, 2003

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

January 12, 2001 - February 11, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 27, 2000 - January 16, 2001

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

July 12, 1999 - January 16, 2001

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

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".

STRAIGHT PATH WEALTH MANAGEMENT

FINANCIAL ARCHITECTS, INC | STRAIGHT PATH WEALTH MANAGEMENT | FINANCIAL ARCITECTS, INC

CRD#: 148897 / SEC#: 801-120307

RIA

Registered Investment Advisory firm - (2/11/2021 Approved)

Michigan

Registered Investment Advisory firm - (3/10/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Michigan
(7/27/2020)

IAR

Texas
(11/19/2021)

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 66

Date: 8/4/2010

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/10/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/23/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/15/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/14/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/9/1999

General Securities Representative Examination

Current Firm

STRAIGHT PATH WEALTH MANAGEMENT

FINANCIAL ARCHITECTS, INC | STRAIGHT PATH WEALTH MANAGEMENT | FINANCIAL ARCITECTS, INC

CRD#: 148897 / SEC#: 801-120307

RIA

Registered Investment Advisory firm - (2/11/2021 Approved)

Michigan

Registered Investment Advisory firm - (3/10/2021 Terminated)

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Contact information

Main Address

7699 Georgetown Center Drive, Jenison, MI 49428

Mailing Address

Phone number

(616) 288-3670

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM PART 2A STRAIGHT PATH WEALTH MANAGEMENT (3/6/2025)

Regulatory assets under management

Total Number of Accounts	1,783
AUM (Assets Under Management)	$ 347,960,970

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.

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Firm Stability Insights

Thomas J. Proos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Proos's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CWM, LLC

CETERA WEALTH SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT SERVICES LLC

KEYBANC CAPITAL MARKETS INC.

KEYBANC CAPITAL MARKETS INC.

MORGAN STANLEY DW INC.

NATCITY INSURANCE SERVICES, INC.

NATCITY INVESTMENTS, INC.

Primary Firm SEC Registration

STRAIGHT PATH WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 8/4/2010

Series 65

Date: 8/10/2001

Series 63

Date: 7/23/1999

Series 7TO

Date: 12/15/2022

SIE

Date: 10/1/2018

Series 31

Date: 8/14/2001

Series 7

Date: 7/9/1999

Current Firm

STRAIGHT PATH WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRAIGHT PATH WEALTH MANAGEMENT

TRUST BUT VERIFY

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