Thao L. Ring

SIKICH FINANCIAL

Indianapolis, IN 46240

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CRD#: 4841325

Professional summary

Thao Lan Ta Ring, CFP®, who also goes by Thao Lan Ta, is a registered financial advisor currently at SIKICH FINANCIAL located in Indianapolis, Indiana and OSAIC WEALTH, INC. located in Indianapolis, Indiana.

Thao is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Thao has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thao Lan Ta

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)Sikich Financial;investment related;3201 W White Oaks Drive,Suite 102,Springfield,IL 62704;financial advice;admin;4/2021;10 hrs/month;0 hrs during trading;blog writer 2) Advancement Center for Washington Township Schools and North Central Alumni. Finance Committee Member. Advises on operational budgets of the school. Not investment related. No check writing privileges. 1 hour per month spent on this. Started Oct. 3, 2023.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thao Lan Ta Ring'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: 2010

Experience

Current

April 1, 2021 - Present

SIKICH FINANCIAL

Office #1: 8555 River Road Suite 300, Indianapolis, IN 46240

RIA

CRD#: 142640

Indianapolis, IN

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: Five River Crossing 8555 River Rd #300, Indianapolis, IN 46240

RIA

CRD#: 23131

Indianapolis, IN

Past

May 19, 2021 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Indianapolis, IN

Past

March 30, 2016 - June 4, 2019

TRIAD ADVISORS LLC

CRD#: 25803

SPRINGFIELD, IL

Past

March 10, 2016 - June 3, 2019

SIKICH FINANCIAL

RIA

CRD#: 142640

SPRINGFIELD, IL

Past

June 14, 2013 - October 29, 2015

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

INDIANAPOLIS, IN

Past

June 14, 2013 - October 29, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

INDIANAPOLIS, IN

Past

March 22, 2007 - March 25, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

INDIANAPOLIS, IN

Past

March 22, 2007 - March 25, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

INDIANAPOLIS, IN

Past

December 14, 2004 - March 13, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

INDIANAPOLIS, IN

Past

December 14, 2004 - March 13, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 14, 2004 - March 13, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

SIKICH FINANCIAL

SIKICH CAPITAL MANAGEMENT LLC | SIKICH RETIREMENT PLAN SERVICES LLC | SIKICH FINANCIAL

CRD#: 142640 / SEC#: 801-110142

RIA

Registered Investment Advisory firm - (3/24/2017 Approved)

Florida

Registered Investment Advisory firm - (3/27/2017 Terminated)

Illinois

Registered Investment Advisory firm - (3/24/2017 Terminated)

Minnesota

Registered Investment Advisory firm - (3/27/2017 Terminated)

Missouri

Registered Investment Advisory firm - (3/27/2017 Terminated)

Ohio

Registered Investment Advisory firm - (3/27/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/27/2017 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/27/2017 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.

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

IAR

Illinois
(4/1/2021)

Illinois
(8/23/2024)

IAR

Indiana
(2/14/2022)

Indiana
(8/23/2024)

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

State Security Law Exam

IAR

Series 66

Date: 11/16/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/13/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SIKICH FINANCIAL

SIKICH CAPITAL MANAGEMENT LLC | SIKICH RETIREMENT PLAN SERVICES LLC | SIKICH FINANCIAL

CRD#: 142640 / SEC#: 801-110142

RIA

Registered Investment Advisory firm - (3/24/2017 Approved)

Florida

Registered Investment Advisory firm - (3/27/2017 Terminated)

Illinois

Registered Investment Advisory firm - (3/24/2017 Terminated)

Minnesota

Registered Investment Advisory firm - (3/27/2017 Terminated)

Missouri

Registered Investment Advisory firm - (3/27/2017 Terminated)

Ohio

Registered Investment Advisory firm - (3/27/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/27/2017 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/27/2017 Terminated)

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Contact information

Main Address

3051 Hollis Drive 3rd Floor, Springfield, IL 62704

Mailing Address

Phone number

(217) 862-1843

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIKICH CAPITAL MANAGEMENT LLC ADV PART 2 (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,236
AUM (Assets Under Management)	$ 919,996,863

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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Advisor Monitoring

Firm Stability Insights

Thao L. Ring

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thao Lan Ta Ring's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

SIKICH FINANCIAL

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SIKICH FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 11/16/2004

SIE

Date: 10/1/2018

Series 7

Date: 12/13/2004

FINRA

Current Firm

SIKICH FINANCIAL

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIKICH FINANCIAL

TRUST BUT VERIFY

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