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TP

Thomas J. Proos

STRAIGHT PATH WEALTH MANAGEMENT
Jenison, MI 49428
Some features on this profile are disabled
CRD#: 3238215
TP

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.
The advisor shows no other business activity.

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

BD
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

BD
CRD#: 6413
GRAND RAPIDS, MI
Past

October 3, 2003 - October 31, 2005

CETERA INVESTMENT SERVICES LLC

BD
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.

BD
CRD#: 566
CLEVELAND, OH
Past

January 12, 2001 - February 11, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 27, 2000 - January 16, 2001

NATCITY INSURANCE SERVICES, INC.

BD
CRD#: 16989
CLEVELAND, OH
Past

July 12, 1999 - January 16, 2001

NATCITY INVESTMENTS, INC.

BD
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".
SP
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)

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)

Exams

State Security Law Exam
RR
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
RR
Series 63
Date: 7/23/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/15/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/14/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/9/1999
General Securities Representative Examination

Current Firm

SP
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
12

SEC notice filing (8 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

ADV FORM PART 2A STRAIGHT PATH WEALTH MANAGEMENT (2/9/2026)

Regulatory assets under management

Total Number of Accounts2,069
AUM (Assets Under Management)$ 472,452,040

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

STRAIGHT PATH WEALTH MANAGEMENT

CRD#: 148897Jenison, MI 49428

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