TS
Thomas W. Stockett
CLEVELAND WEALTH
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 5863333
TS
Professional summary
Thomas Williams Stockett is a registered financial advisor currently at CLEVELAND WEALTH, LLC located in Cleveland, Ohio.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Thomas has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
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.
1.INDEPENDENT INSURANCE AGENT;YES;8 COMMCERCE AVENUE SELINSGROVE, PA 17870;FIXED INSURANCE SALES;INDEPENDENT INSURANCE AGENT;12/2010;160;160;SALES OF FIXED INSURANCE PRODUCTS 2.FKS CONSULTING, INC. DBA STRUCTURED GROWTH STRATEGIES;YES;8 COMMERCE AVENUE SELINSGROVE, PA 17870;DBA;OWNER;1/2006;80;80;DBA FOR INSURANCE AND SECURITIES SALES AS WELL AS STRUCTURED SETTLEMENTS. 3. THOMAS WILLIAMS STOCKETT IS A PRODUCER/CONSULTANT FOR SAGE SETTLEMENT CONSULTING AS OF JANUARY 2019. 4. THOMAS WILLIAMS STOCKETT IS A PRINCIPAL OF CW INSURANCE, LLC AS OF DECEMBER 2018. 5. THOMAS WILLIAMS STOCKETT IS OWNER OF CW SETTLEMENTS, LLC AS OF DECEMBER 2018. MR. STOCKETT SPENDS 40 HOURS PER MONTH ON THESE ACTIVITIES.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Williams Stockett's 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®
NoneExperience
Current
April 26, 2016 - Present
CLEVELAND WEALTH, LLC
Office #1: 600 Superior Avenue East Suite 2550, Cleveland, OH 44114RIA
CRD#: 282196
Cleveland, OH
Past
September 1, 2011 - April 22, 2016
INTEGRITY ALLIANCE, LLC.
RIA
CRD#: 139627
SELINSGROVE, PA
Past
December 24, 2010 - April 22, 2016
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
SELINSGROVE, PA
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".
CW
CLEVELAND WEALTH, LLC
CLEVELAND WEALTH, LLC | SGS CLEVELANDWEALTH, LLC
CRD#: 282196 / SEC#: 801-117776
RIA
Registered Investment Advisory firm - (12/13/2019 Approved)Arizona
Registered Investment Advisory firm - (12/24/2019 Terminated)California
Registered Investment Advisory firm - (1/23/2020 Terminated)Florida
Registered Investment Advisory firm - (12/24/2019 Terminated)Illinois
Registered Investment Advisory firm - (12/10/2019 Terminated)Indiana
Registered Investment Advisory firm - (1/10/2020 Terminated)Louisiana
Registered Investment Advisory firm - (12/24/2019 Terminated)Michigan
Registered Investment Advisory firm - (12/26/2019 Terminated)New York
Registered Investment Advisory firm - (12/24/2019 Terminated)North Carolina
Registered Investment Advisory firm - (1/2/2020 Terminated)Ohio
Registered Investment Advisory firm - (12/24/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/26/2019 Terminated)Texas
Registered Investment Advisory firm - (12/24/2019 Terminated)Virginia
Registered Investment Advisory firm - (12/24/2019 Terminated)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
Ohio(4/26/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CW
CLEVELAND WEALTH, LLC
CLEVELAND WEALTH, LLC | SGS CLEVELANDWEALTH, LLC
CRD#: 282196 / SEC#: 801-117776
RIA
Registered Investment Advisory firm - (12/13/2019 Approved)Arizona
Registered Investment Advisory firm - (12/24/2019 Terminated)California
Registered Investment Advisory firm - (1/23/2020 Terminated)Florida
Registered Investment Advisory firm - (12/24/2019 Terminated)Illinois
Registered Investment Advisory firm - (12/10/2019 Terminated)Indiana
Registered Investment Advisory firm - (1/10/2020 Terminated)Louisiana
Registered Investment Advisory firm - (12/24/2019 Terminated)Michigan
Registered Investment Advisory firm - (12/26/2019 Terminated)New York
Registered Investment Advisory firm - (12/24/2019 Terminated)North Carolina
Registered Investment Advisory firm - (1/2/2020 Terminated)Ohio
Registered Investment Advisory firm - (12/24/2019 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/26/2019 Terminated)Texas
Registered Investment Advisory firm - (12/24/2019 Terminated)Virginia
Registered Investment Advisory firm - (12/24/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
600 Superior Avenue East Suite 2550, Cleveland, OH 44114
Mailing Address
Phone number
(216) 810-5900
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,284 |
| AUM (Assets Under Management) | $ 1,012,082,624 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
