Thomas Michael Wright
Professional Summary
Thomas Michael Wright is a registered financial advisor currently at KPP ADVISORY SERVICES LLC located in Louisville, Kentucky and LPL FINANCIAL LLC located in Louisville, Kentucky. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Thomas has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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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.
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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC
Contact Information
Main Address
9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222Phone Number
(502) 394-0400# of Employees
37SEC notice filing (27 States and Territories)
Registered to provide investment advisory services in 27 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,995AUM (Assets Under Management)
$1,241,011,682Similar Advisors
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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.
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Primary Firm SEC Registration
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC
State Registrations and Notice Filings
(5/29/2012)
(5/29/2012)
(8/3/2020)
(11/27/2024)
(6/13/2012)
(5/29/2012)
(10/10/2017)
(8/1/2022)
(10/2/2015)
(2/26/2019)
(5/22/2017)
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
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Michael Wright's CRS (Customer Relationship Summary).
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