TB
Thomas L. Barton
PACKERLAND BROKERAGE SERVICES
Oconomowoc, WI 53066
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CRD#: 4079032
TB
Professional summary
Thomas Leland Barton is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in Oconomowoc, 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 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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) BROKERS INTERNATIONAL MOUNTAIN STATES 418 S 9TH ST, SUITE 305 BOISE, IDAHO 83702 TITLE: INSURANCE AGENT DUTIES: INSURANCE LIFE, HEALTH, FIXED INDEXED ANNUITIES, LTC, DISABILITY HOURS DEVOTED: 10 HOURS START DATE: 1/2015 NON INVESTMENT, BUT INSURANCE RELATED Highland Capital Brokerage Life Insurance, Health Insurance, Long Term Care Insurance, Disability Insurance, Fixed/Fixed Indexed Annuity Sales 8900 Keystone Crossing Indianapolis IN, 46240 United States Phone Number: (800) 234-6251 investment related
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Leland Barton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Leland Barton'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
August 11, 2011 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 784 Summit Ave, Oconomowoc, WI 53066RIA
BD
CRD#: 37031
Oconomowoc, WI
Current
March 18, 2010 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 784 Summit Ave, Oconomowoc, WI 53066RIA
BD
CRD#: 37031
Oconomowoc, WI
Past
September 5, 2008 - March 23, 2010
FREEDOM INVESTORS CORP.
BD
CRD#: 23714
MENOMONEE FALLS, WI
Past
September 3, 2008 - September 3, 2008
FREEDOM INVESTORS CORP.
RIA
CRD#: 23714
MENOMONEE FALLS, WI
Past
April 12, 2002 - September 2, 2008
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
MONOMONEE FALLS, WI
Past
May 18, 2000 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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.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(12/3/2021)
IAR
Arizona(12/10/2021)
RR
Florida(4/24/2018)
IAR
Florida(4/25/2018)
RR
Idaho(10/18/2019)
IAR
Idaho(10/22/2020)
RR
Illinois(3/18/2010)
IAR
Illinois(8/11/2011)
RR
Iowa(3/18/2010)
IAR
Iowa(10/23/2020)
RR
Kansas(5/12/2023)
IAR
Kansas(5/12/2023)
RR
Michigan(12/4/2024)
IAR
Michigan(7/9/2025)
RR
Minnesota(3/18/2010)
IAR
Minnesota(5/21/2014)
RR
North Dakota(10/30/2023)
IAR
North Dakota(10/30/2023)
RR
Oklahoma(7/16/2010)
IAR
Oklahoma(9/9/2025)
RR
Oregon(4/27/2016)
IAR
Oregon(4/28/2016)
RR
Tennessee(7/18/2022)
RR
Utah(8/21/2025)
IAR
Utah(8/21/2025)
RR
Wisconsin(3/18/2010)
IAR
Wisconsin(8/11/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
432 Security Blvd. Ste. 101, Green Bay, WI 54313-9709
Mailing Address
432 Security Blvd., Green Bay, WI 54313
Phone number
(920) 662-9500
Established
Wisconsin since 07/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
286
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
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
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031Oconomowoc, WI 53066TRUST BUT VERIFY
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