Thomas J. Pelham

KAUFMAN ROSSIN WEALTH

Miami, FL 33133

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CRD#: 4242866

Professional summary

Thomas John Pelham JR., CFP®, who also goes by Jay Pelham, Thomas John Pelham, is a registered financial advisor currently at KAUFMAN ROSSIN WEALTH, LLC located in Miami, Florida.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Thomas has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay Pelham | Thomas John Pelham

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) KAUFMAN, ROSSIN & CO., NON-INVESTMENT RELATED, 3310 MARY STREET, SUITE 501, MIAMI, FL 33133, PRINCIPAL, BUSINESS CONSULTING, START DATE 08/2018, GENERALLY, 3 HOURS PER WEEK DURING SECURITY TRADING HOURS. 2) KR FINANCIAL SERVICES dba KAUFMAN ROSSIN INSURANCE SERVICES, NON-INVESTMENT RELATED, 3310 MARY STREET, SUITE 501, MIAMI, FL 33133, PRESIDENT AND LICENSED INSURANCE AGENT. START DATE 08/2018, 0 HOURS PER WEEK DURING SECURITY TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Pelham JR.'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: 2002

Experience

Current

May 23, 2019 - Present

KAUFMAN ROSSIN WEALTH, LLC

Office #1: 3310 Mary Street Suite 501, Miami, FL 33133

RIA

CRD#: 301921

Miami, FL

Past

June 2, 2011 - November 17, 2014

OSAIC INSTITUTIONS, INC.

CRD#: 35371

CORAL GABLES, FL

Past

April 23, 2009 - January 21, 2010

P.J. ROBB VARIABLE, LLC

CRD#: 38339

MEMPHIS, TN

Past

March 4, 2008 - July 17, 2008

LPL FINANCIAL LLC

CRD#: 6413

CORAL GABLES, FL

Past

July 20, 2004 - March 4, 2008

IFMG SECURITIES, INC.

CRD#: 14416

CORAL GABLES, FL

Past

August 16, 2000 - November 24, 2003

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, 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".

KAUFMAN ROSSIN WEALTH, LLC

CRD#: 301921 / SEC#: 801-122845

RIA

Registered Investment Advisory firm - (12/14/2021 Approved)

Florida

Registered Investment Advisory firm - (9/6/2022 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

Florida
(5/23/2019)

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: 8/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/17/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/15/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/30/2000

Investment Company Products/Variable Contracts Principal Examination

Current Firm

KAUFMAN ROSSIN WEALTH, LLC

CRD#: 301921 / SEC#: 801-122845

RIA

Registered Investment Advisory firm - (12/14/2021 Approved)

Florida

Registered Investment Advisory firm - (9/6/2022 Terminated)

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Contact information

Main Address

3310 Mary Street Suite 501, Miami, FL 33133

Mailing Address

Phone number

(305) 646-6071

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KAUFMAN ROSSIN WEALTH, LLC FORM ADV PART 2 (5/8/2025)

Regulatory assets under management

Total Number of Accounts	457
AUM (Assets Under Management)	$ 302,857,130

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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Thomas J. Pelham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Pelham JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC INSTITUTIONS, INC.

P.J. ROBB VARIABLE, LLC

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

TRUIST INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

KAUFMAN ROSSIN WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/16/2000

SIE

Date: 11/17/2014

Series 6

Date: 8/15/2000

Series 26

Date: 10/30/2000

Current Firm

KAUFMAN ROSSIN WEALTH, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KAUFMAN ROSSIN WEALTH, LLC

TRUST BUT VERIFY

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