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TG

Thomas E. Grooms

SIERRA SUMMIT ADVISORS LLC
CHICAGO, IL 60613
Some features on this profile are disabled
CRD#: 5588637
TG

Professional summary

Thomas Eugene Grooms is a registered financial advisor currently at SIERRA SUMMIT ADVISORS LLC located in Chicago, Illinois.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Thomas has worked at 2 firms .

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Thomas Eugene Grooms'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®
None

Experience

Current

April 3, 2024 - Present

SIERRA SUMMIT ADVISORS LLC

Office #1: 4311 Ravenswood Ave #100, Chicago, IL 60613
RIA
CRD#: 328151
CHICAGO, IL
Past

August 31, 2017 - April 15, 2022

PREMIER ASSET MANAGEMENT LLC

RIA
CRD#: 115439
CHICAGO, IL

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".
SS
SIERRA SUMMIT ADVISORS LLC
SIERRA SUMMIT ADVISORS LLC

CRD#: 328151 / SEC#: 801-128786

RIA
Registered Investment Advisory firm - (9/21/2023 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Illinois
(4/3/2024)
IAR
Texas
(6/6/2024)

Exams

Current Firm

SS
SIERRA SUMMIT ADVISORS LLC
SIERRA SUMMIT ADVISORS LLC

CRD#: 328151 / SEC#: 801-128786

RIA
Registered Investment Advisory firm - (9/21/2023 Approved)
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Contact information

Main Address
Incline Village, NV
Mailing Address
Phone number
(847) 652-5070
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (6 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

SIERRA SUMMIT ADVISORS LLC ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts401
AUM (Assets Under Management)$ 637,600,000

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

SIERRA SUMMIT ADVISORS LLC

CRD#: 328151Chicago, IL 60613

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