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Tom E. Kukulski

Tom E. Kukulski

Some features on this profile are disabled
CRD#: 4367149
Tom E. Kukulski

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Tom E. Kukulski, CFP®, CIMA®, who also goes by Tom Kukulski Jr, Tom Kukulski, was a registered financial professional .

Tom is a previously registered financial professional and started their career in finance in 2001. Tom had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Kukulski Jr | Tom Kukulski

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)

The CRS(Customer Relationship Summary) document is not provided.

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: 2006

CIMA®

Certified Investment Management Analyst

Experience

Past

September 20, 2023 - October 12, 2023

THE MOSAIC FINANCIAL GROUP, LLC

RIA
CRD#: 109816
CHICAGO, IL
Past

April 18, 2019 - June 4, 2019

BDO WEALTH ADVISORS, LLC

RIA
CRD#: 222525
CHICAGO, IL
Past

September 14, 2018 - December 20, 2018

CURI CAPITAL, LLC

RIA
CRD#: 134249
Oakbrook Terrace, IL
Past

April 20, 2009 - September 25, 2018

CALAMOS WEALTH MANAGEMENT LLC

RIA
CRD#: 143490
NAPERVILLE, IL
Past

August 18, 2008 - September 25, 2018

CALAMOS FINANCIAL SERVICES LLC

BD
CRD#: 19850
NAPERVILLE, IL
Past

September 19, 2005 - May 29, 2008

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

July 19, 2004 - September 9, 2005

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

July 15, 2004 - September 9, 2005

LPL FINANCIAL LLC

RIA
CRD#: 6413
PHOENIX, AZ
Past

April 30, 2003 - March 17, 2004

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA
Past

March 8, 2002 - May 1, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CHICAGO, IL
Past

April 3, 2001 - May 1, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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".
TM
THE MOSAIC FINANCIAL GROUP, LLC
THE MOSAIC FINANCIAL GROUP, LLC

CRD#: 109816 / SEC#: 801-58120

RIA
Registered Investment Advisory firm - (11/17/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/18/2001
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/2/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/10/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/2/2001
General Securities Representative Examination

Current Firm

TM
THE MOSAIC FINANCIAL GROUP, LLC
THE MOSAIC FINANCIAL GROUP, LLC

CRD#: 109816 / SEC#: 801-58120

RIA
Registered Investment Advisory firm - (11/17/2000 Approved)
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Contact information

Main Address
225 W. Randolph Street Suite 2425, Chicago, IL 60606
Mailing Address
Phone number
(312) 255-5490
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (2 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

PART 2 BROCHURE (1/22/2026)

Regulatory assets under management

Total Number of Accounts569
AUM (Assets Under Management)$ 898,494,961

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/23/2025
Cover Page
Report
11/27/2024
Cover Page
Report
12/11/2023
Cover Page
Report
02/14/2023
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.

Company Information

THE MOSAIC FINANCIAL GROUP, LLC

CRD#: 109816

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