Thomas Christopher Abts
Professional Summary
Thomas Christopher Abts was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 2012 - 2016. Thomas had worked at 1 firm and has passed the SIE and Series 99 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
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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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.
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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Years of Experience
14 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
LANDAAS | LANDAAS & COMPANY, LLC | LANDAAS & COMPANY
Contact Information
Main Address
411 E. Wisconsin Ave 20th Floor, Milwaukee, WI 53202Mailing Address
411 E. Wisconsin Ave, Milwaukee, WI 53202Phone Number
(414) 223-1099Established
Wisconsin since 07/20/1989Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
27SEC notice filing (23 States and Territories)
Registered to provide investment advisory services in 23 US states and territories.
FINRA licenses (47 States and Territories)
Registered to provide investment advisory services in 23 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
4,098AUM (Assets Under Management)
$1,926,588,387Disclosures
Regulatory Event
2Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2026 | Cover Page | Report |
| 11/24/2025 | Cover Page | Report |
| 11/22/2024 | Cover Page | Report |
| 10/25/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
LANDAAS | LANDAAS & COMPANY, LLC | LANDAAS & COMPANY
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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