Thomas J. Zimmer

OSAIC WEALTH

Kimberly, WI 54136

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CRD#: 4061719

Professional summary

Thomas Joseph Zimmer, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Kimberly, Wisconsin.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 7 firms and has passed the Series 66, SIE, 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.

SECURITIES AMERICA ADVISORS -INVESTMENT ADVISORY - IAR - INVESTMENT RELATED - START DATE: 12/2016 - LOCATED AT 717 Eisenhower Dr., Kimberly, WI 54136 NOTARY PUBLIC POSITION: Notary Public NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/12/2008 ADDRESS: 717 Eisenhower Drive, Kimberly WI 54136 DESCRIPTION: Notary Public ZIMMER FINANCIAL GROUP, LLC POSITION: Agent NATURE: Fixed life insurance, fixed annuities, long term care insurance. INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/01/2000 ADDRESS: 717 Eisenhower Drive, Kimberly WI 54136 DESCRIPTION: Sales and service of fixed insurance, fixed insurance, and long-term care. ZIMMER BROTHERS, LLC POSITION: 1/3 owner NATURE: DBA for building ownership. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 12/31/2007 ADDRESS: 717 Eisenhower Drive, Kimberly WI 54136 DESCRIPTION: 1/3 owner of the building in which I conduct my financial advisory services. ZIMMER FINANCIAL GROUP, LLC POSITION: Financial advisor NATURE: DBA for financial advisory services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 175 SECURITIES TRADING HOURS: 142 START DATE: 09/01/2000 ADDRESS: 717 Eisenhower Drive, Kimberly WI 54136 DESCRIPTION: Financial advisory services. THOMAS ZIMMER POSITION: Model NATURE: Modeling services INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1995 ADDRESS: 5648 N ROSEMARY DR, APPLETON WI 54913 DESCRIPTION: Modeling services/independent contractor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Zimmer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Thomas Joseph Zimmer'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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 717 Eisenhower Dr, Kimberly, WI 54136

RIA

CRD#: 23131

Kimberly, WI

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 717 Eisenhower Dr, Kimberly, WI 54136

RIA

CRD#: 23131

Kimberly, WI

Past

December 27, 2016 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

Kimberly, WI

Past

December 27, 2016 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

Kimberly, WI

Past

July 31, 2009 - December 27, 2016

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

KIMBERLY, WI

Past

July 31, 2009 - December 27, 2016

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

KIMBERLY, WI

Past

January 27, 2009 - July 31, 2009

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

KIMBERELY, WI

Past

August 20, 2004 - July 31, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

KIMBERELY, WI

Past

October 3, 2000 - August 25, 2004

FFP ADVISORY SERVICES INC

RIA

CRD#: 110778

KIMBERLY, WI

Past

August 30, 2000 - August 24, 2004

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, 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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

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

IAR

Florida
(6/14/2024)

Ohio
(6/14/2024)

South Carolina
(6/14/2024)

Wisconsin
(6/14/2024)

IAR

Wisconsin
(6/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/21/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/18/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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. Zimmer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Zimmer's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas Joseph Zimmer's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

FFP ADVISORY SERVICES INC

FFP SECURITIES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/1999

SIE

Date: 10/1/2018

Series 7

Date: 8/28/2000

Series 24

Date: 4/18/2001

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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