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TS

Thomas H. Stapleton

COLLECTIVE WEALTH PARTNERS
Smyrna, GA
Some features on this profile are disabled
CRD#: 6502963
TS

Professional summary

Thomas Henry Stapleton, who also goes by Thomas Henry Stapleton Jr., Thomas Stapleton, Tommy Stapleton, is a registered financial advisor currently at COLLECTIVE WEALTH PARTNERS, LLC located in Smyrna, Georgia.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Thomas has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas Henry Stapleton Jr. | Thomas Stapleton | Tommy Stapleton

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 Henry Stapleton'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

May 2, 2025 - Present

COLLECTIVE WEALTH PARTNERS, LLC

RIA
CRD#: 317519
Smyrna, GA
Past

January 9, 2025 - April 29, 2025

APPLIED WEALTH MANAGEMENT

RIA
CRD#: 318732
Smyrna, GA
Past

July 26, 2024 - January 8, 2025

APPLIED WEALTH MANAGEMENT

RIA
CRD#: 318732
SMYRNA, GA
Past

August 4, 2022 - July 10, 2024

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
Atlanta, GA
Past

August 1, 2022 - July 10, 2024

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Atlanta, GA
Past

April 13, 2021 - July 22, 2022

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
ATLANTA, GA
Past

December 5, 2020 - July 22, 2022

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
ATLANTA, GA

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
COLLECTIVE WEALTH PARTNERS, LLC
ALTRUIST WEALTH PARTNERS, LLC | COLLECTIVE WEALTH PARTNERS, LLC

CRD#: 317519 / SEC#: 801-123714

RIA
Registered Investment Advisory firm - (4/14/2022 Approved)
Georgia
Registered Investment Advisory firm - (4/26/2022 Terminated)
Texas
Registered Investment Advisory firm - (4/18/2022 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
Georgia
(5/2/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/13/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/11/2021
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/21/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/5/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/22/2020
Securities Industry Essentials Examination

Current Firm

CW
COLLECTIVE WEALTH PARTNERS, LLC
ALTRUIST WEALTH PARTNERS, LLC | COLLECTIVE WEALTH PARTNERS, LLC

CRD#: 317519 / SEC#: 801-123714

RIA
Registered Investment Advisory firm - (4/14/2022 Approved)
Georgia
Registered Investment Advisory firm - (4/26/2022 Terminated)
Texas
Registered Investment Advisory firm - (4/18/2022 Terminated)
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Contact information

Main Address
1100 Peachtree Street Ne Suite 250, Atlanta, GA 30309
Mailing Address
1100 Peachtree Street Ne Suite 250, Altanta, GA 30309
Phone number
(404) 633-9952
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (15 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

COLLECTIVE WEALTH PARTNERS DISCLOSURE BROCHURE (5/19/2025)

Regulatory assets under management

Total Number of Accounts409
AUM (Assets Under Management)$ 42,493,998

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

COLLECTIVE WEALTH PARTNERS, LLC

CRD#: 317519Smyrna, GA

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