Thomas A. Cavaliere Iii
Professional Summary
Thomas A. Cavaliere III, who also goes by Thomas Aquinas Cavaliere III, Tom Cavaliere, Tommy Cavaliere, is a registered financial advisor currently at IHT WEALTH MANAGEMENT LLC located in Leawood, Kansas and LPL FINANCIAL LLC located in Leawood, Kansas. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 6 firms and has passed the Series 66, SIE and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Aquinas Cavaliere Iii, Tom Cavaliere, Tommy Cavaliere
Similar Advisors
O'HAGAN GROUP, INC.
ELLIS FINANCIAL PLANNING
THE ENSEMBLE TEAM
MORGAN STANLEY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
O'HAGAN GROUP, INC.
ELLIS FINANCIAL PLANNING
THE ENSEMBLE TEAM
MORGAN STANLEY
Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Similar Advisors
O'HAGAN GROUP, INC.
ELLIS FINANCIAL PLANNING
THE ENSEMBLE TEAM
MORGAN STANLEY
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
O'HAGAN GROUP, INC.
ELLIS FINANCIAL PLANNING
THE ENSEMBLE TEAM
MORGAN STANLEY
Years of Experience
25 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
O'HAGAN GROUP, INC.
ELLIS FINANCIAL PLANNING
THE ENSEMBLE TEAM
MORGAN STANLEY
Current Firm
+RINGENBERG FINANCIAL GROUP | W INVESTMENTS | VENICE WEALTH PARTNERS, LLC | THRIVE LIFE 360 | THE NESSIM GROUP | TALL OAKS ADVISORS, LLC | SW ADVISERS | SUCCESS WEALTH MANAGEMENT | STONEBRIAR WEALTH MANAGEMENT | STILLWATER FINANCIAL PLANNING | STEVENS3 FINANCIAL SERVICES, LLC | SJD PARTNERS LLC | SHARD FINANCIAL SERVICES, INC. | SEWELL WEALTH MANAGEMENT | RPR FINANCIAL | ROXIE WEBB SECURITIES MANAGEMENT INC. | ROCKY MOUNTAIN WEALTH MANAGEMENT | RIVERSTONE WEALTH MANAGEMENT | RINGENBERG FINANCIAL GROUP | RB WEALTH PARTNERS | PROVIDENT WEALTH MANAGEMENT | PRB WEALTH MANAGEMENT | PLAN WEALH CREATIVE | PINNACLE WEALTH MANAGEMENT | PEARLVEST CAPITAL LLC | NVISION WEALTH PARTNERS, LLC | NVISION WEALTH | NVISION 401(K) PLAN ADVISORS | MUELLER WEALTH GROUP LLC | MILESTONE FINANCIAL SERVICES | LPG FINANCIAL, LLC | LPG FINANCIAL | LIGHTHOUSE FINANCIAL GROUP | KONZA WEALTH ADVISORS | KMG WEALTH MANAGEMENT | KEYSTONE FINANCIAL STRATEGIES | KEITH WILLIAMS FINANCIAL SERVICES | JLS WEALTH MANAGEMENT | JEFF K. ROSS FINANCIAL | J. DAVID BARKLEY & ASSOCIATES | IRELAND WEALTH MANAGEMENT AND FINANCIAL PLANNING | IHT WEALTH MANAGEMENT LLC | HARBOR WEALTH | GREEN STONE BELT WEALTH ADVISORS, LLC | GRATITUDE WEALTH MANAGEMENT | GONGOLA FINANCIAL | EQUITY WEALTH MANAGEMENT | ECLIPSE PRIVATE WEALTH MANAGEMENT | DWF WEALTH MANAGEMENT | DEWITT WEALTH ADVISORS | CMD WEALTH PARTNERS | CHRISTOPHER R. STEIN COMPREHENSIVE WEALTH MANAGEMENT, INC. | CARRERA FINANCIAL | BRIDGE BENEFITS GROUP | BOARDWALK WEALTH SOLUTIONS | BAY AREA WEALTH MANAGEMENT | A&C MANAGEMENT GROUP
Contact Information
Main Address
123 N. Wacker Dr. Suite 2300, Chicago, IL 60606Phone Number
(855) 295-2828# of Employees
179SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
25,536AUM (Assets Under Management)
$9,801,751,527Similar Advisors
O'HAGAN GROUP, INC.
ELLIS FINANCIAL PLANNING
THE ENSEMBLE TEAM
MORGAN STANLEY
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
O'HAGAN GROUP, INC.
ELLIS FINANCIAL PLANNING
THE ENSEMBLE TEAM
MORGAN STANLEY
Primary Firm SEC Registration
+RINGENBERG FINANCIAL GROUP | W INVESTMENTS | VENICE WEALTH PARTNERS, LLC | THRIVE LIFE 360 | THE NESSIM GROUP | TALL OAKS ADVISORS, LLC | SW ADVISERS | SUCCESS WEALTH MANAGEMENT | STONEBRIAR WEALTH MANAGEMENT | STILLWATER FINANCIAL PLANNING | STEVENS3 FINANCIAL SERVICES, LLC | SJD PARTNERS LLC | SHARD FINANCIAL SERVICES, INC. | SEWELL WEALTH MANAGEMENT | RPR FINANCIAL | ROXIE WEBB SECURITIES MANAGEMENT INC. | ROCKY MOUNTAIN WEALTH MANAGEMENT | RIVERSTONE WEALTH MANAGEMENT | RINGENBERG FINANCIAL GROUP | RB WEALTH PARTNERS | PROVIDENT WEALTH MANAGEMENT | PRB WEALTH MANAGEMENT | PLAN WEALH CREATIVE | PINNACLE WEALTH MANAGEMENT | PEARLVEST CAPITAL LLC | NVISION WEALTH PARTNERS, LLC | NVISION WEALTH | NVISION 401(K) PLAN ADVISORS | MUELLER WEALTH GROUP LLC | MILESTONE FINANCIAL SERVICES | LPG FINANCIAL, LLC | LPG FINANCIAL | LIGHTHOUSE FINANCIAL GROUP | KONZA WEALTH ADVISORS | KMG WEALTH MANAGEMENT | KEYSTONE FINANCIAL STRATEGIES | KEITH WILLIAMS FINANCIAL SERVICES | JLS WEALTH MANAGEMENT | JEFF K. ROSS FINANCIAL | J. DAVID BARKLEY & ASSOCIATES | IRELAND WEALTH MANAGEMENT AND FINANCIAL PLANNING | IHT WEALTH MANAGEMENT LLC | HARBOR WEALTH | GREEN STONE BELT WEALTH ADVISORS, LLC | GRATITUDE WEALTH MANAGEMENT | GONGOLA FINANCIAL | EQUITY WEALTH MANAGEMENT | ECLIPSE PRIVATE WEALTH MANAGEMENT | DWF WEALTH MANAGEMENT | DEWITT WEALTH ADVISORS | CMD WEALTH PARTNERS | CHRISTOPHER R. STEIN COMPREHENSIVE WEALTH MANAGEMENT, INC. | CARRERA FINANCIAL | BRIDGE BENEFITS GROUP | BOARDWALK WEALTH SOLUTIONS | BAY AREA WEALTH MANAGEMENT | A&C MANAGEMENT GROUP
State Registrations and Notice Filings
(1/12/2024)
(11/29/2022)
(1/4/2013)
(1/4/2013)
(12/14/2012)
(10/13/2017)
(9/29/2026)
(1/4/2013)
(8/21/2023)
(1/4/2013)
(1/4/2013)
(1/8/2013)
(11/29/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
O'HAGAN GROUP, INC.
ELLIS FINANCIAL PLANNING
THE ENSEMBLE TEAM
MORGAN STANLEY
CRS (Client Relationship Summary) - RIA
Click below to view Thomas A. Cavaliere III's CRS (Customer Relationship Summary).
Similar Advisors
O'HAGAN GROUP, INC.
ELLIS FINANCIAL PLANNING
THE ENSEMBLE TEAM
MORGAN STANLEY