Thomas K. Rogers

STRUCTURED WEALTH MANAGEMENT

Toledo, OH 43617

Some features on this profile are disabled

CRD#: 3251381

Professional summary

Thomas Kessel Rogers, who also goes by Thomas Rogers, Tom Rogers, is a registered financial advisor currently at STRUCTURED WEALTH MANAGEMENT, INC. located in Toledo, Ohio.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Rogers | Tom Rogers

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-LIBERTY TAX (DBA)-TAX PREP, TIME SPENT 25%, OWNERSHIP 100% 2-STRUCTURED WEALTH MANAGEMENT (RIA)-RIA BUSINESS, TIME SPENT 75%, OWNERSHIP 100% 3-THOMAS ROGERS-INSURANCE SALES, TIME SPENT NONE PROVIDED, OWNERSHIP NONE PROVIDED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Kessel Rogers'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®

None

Experience

Current

March 28, 2008 - Present

STRUCTURED WEALTH MANAGEMENT, INC.

Office #1: 2778 Centennial Road Ste A, Toledo, OH 43617

RIA

CRD#: 146611

Toledo, OH

Past

April 23, 2012 - March 5, 2015

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

RALEIGH, NC

Past

July 13, 2009 - December 31, 2010

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

TOLEDO, OH

Past

July 9, 2009 - April 3, 2012

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

TOLEDO, OH

Past

June 24, 2008 - July 1, 2009

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

TOLEDO, OH

Past

August 8, 2006 - April 22, 2008

OBS FINANCIAL

RIA

CRD#: 138615

SYLVANIA, OH

Past

February 7, 2005 - August 7, 2006

OBS BROKERAGE SERVICES, INC.

RIA

CRD#: 104281

SYLVANIA, OH

Past

December 5, 2003 - April 22, 2008

OBS BROKERAGE SERVICES, INC.

CRD#: 104281

WHITEHOUSE, OH

Past

August 25, 1999 - December 1, 2003

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

STRUCTURED WEALTH MANAGEMENT, INC.

18 ADVISOR | SWM TAX | STRUCTURED WEALTH MANAGEMENT, INC.

CRD#: 146611 / SEC#: 801-133861

RIA

Registered Investment Advisory firm - (7/11/2025 Approved)

California

Registered Investment Advisory firm - (12/13/2012 Terminated)

Michigan

Registered Investment Advisory firm - (8/8/2017 Approved)

Ohio

Registered Investment Advisory firm - (3/27/2008 Approved)

Texas

Registered Investment Advisory firm - (8/7/2008 Approved)

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

Ohio
(3/28/2008)

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

Series 63

Date: 8/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/5/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/1999

General Securities Representative Examination

Current Firm

STRUCTURED WEALTH MANAGEMENT, INC.

18 ADVISOR | SWM TAX | STRUCTURED WEALTH MANAGEMENT, INC.

CRD#: 146611 / SEC#: 801-133861

RIA

Registered Investment Advisory firm - (7/11/2025 Approved)

California

Registered Investment Advisory firm - (12/13/2012 Terminated)

Michigan

Registered Investment Advisory firm - (8/8/2017 Approved)

Ohio

Registered Investment Advisory firm - (3/27/2008 Approved)

Texas

Registered Investment Advisory firm - (8/7/2008 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2778 Centennial Road Ste A, Toledo, OH 43617

Mailing Address

Phone number

(419) 517-1227

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (6/18/2025)

Regulatory assets under management

Total Number of Accounts	340
AUM (Assets Under Management)	$ 169,000,000

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.

Similar Advisors

Natalie Stenehjem

OSAIC WEALTH, INC.

IAR

San Diego, CA

Tyler Vasquez

THREE ARCH WEALTH MANAGEMENT LLC

IAR

IRVINE, CA

Samuel Spanos

RAYMOND JAMES & ASSOCIATES, INC.

IAR

Sea Island, GA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas K. Rogers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Kessel Rogers's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

PURSHE KAPLAN STERLING INVESTMENTS

OBS FINANCIAL

OBS BROKERAGE SERVICES, INC.

OBS BROKERAGE SERVICES, INC.

EDWARD JONES

Primary Firm SEC Registration

STRUCTURED WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/1999

SIE

Date: 3/5/2015

Series 7

Date: 8/24/1999

Current Firm

STRUCTURED WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRUCTURED WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors