Thomas A. Salemy

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CRD#: 4998169

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.

Thomas A Salemy III, who also goes by Thomas A Salemy, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2008. Thomas had worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas A Salemy

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®

None

Experience

Past

May 16, 2020 - December 10, 2025

MARQUETTE ASSOCIATES, INC.

RIA

CRD#: 21572

CHICAGO, IL

Past

November 18, 2010 - October 6, 2011

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

WHEATON, IL

Past

September 16, 2010 - October 6, 2011

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

March 1, 2010 - September 11, 2010

EATON VANCE MANAGEMENT

RIA

CRD#: 104859

BOSTON, MA

Past

February 3, 2010 - September 11, 2010

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

January 15, 2008 - July 9, 2009

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

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".

MARQUETTE ASSOCIATES, INC.

CRD#: 21572 / SEC#: 801-54006, 8-38967

RIA

Registered Investment Advisory firm - FINRA (3/25/1997 Approved)

Terminated by FINRA on 02/13/1990

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.

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

IAR

Series 66

Date: 2/25/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/4/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/14/2008

General Securities Representative Examination

Current Firm

MARQUETTE ASSOCIATES, INC.

CRD#: 21572 / SEC#: 801-54006, 8-38967

RIA

Registered Investment Advisory firm - FINRA (3/25/1997 Approved)

Terminated by FINRA on 02/13/1990

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Contact information

Main Address

180 North Lasalle Street Suite 3500, Chicago, IL 60601

Mailing Address

Phone number

(312) 527-5500

Established

Illinois since 12/31/1986

Firm type

Corporation

Fiscal year end

# of Employees

140

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MAI ADV 2A AA (3/26/2025)

Regulatory assets under management

Total Number of Accounts	256
AUM (Assets Under Management)	$ 35,573,596,704

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/15/2025	Cover Page	Report
07/19/2024	Cover Page	Report
10/24/2023	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.

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Firm Stability Insights

Thomas A. Salemy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

EATON VANCE MANAGEMENT

EATON VANCE DISTRIBUTORS, INC.

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

Primary Firm SEC Registration

MARQUETTE ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2010

Series 63

Date: 2/4/2008

Series 7

Date: 1/14/2008

Current Firm

MARQUETTE ASSOCIATES, INC.

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MARQUETTE ASSOCIATES, INC.

TRUST BUT VERIFY

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