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TK

Thomas J. Kiernan

FINANCIAL SERVICE GROUP
Mount Pleasant, WI 53406
Some features on this profile are disabled
CRD#: 6745121
TK

Professional summary

Thomas Joseph Kiernan, who also goes by Thomas J Kiernan, Thomas Kiernan, Tom J Kiernan, is a registered financial advisor currently at FINANCIAL SERVICE GROUP INC located in Mount Pleasant, Wisconsin.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Thomas has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas J Kiernan | Thomas Kiernan | Tom J Kiernan

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 Joseph Kiernan'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

February 5, 2024 - Present

FINANCIAL SERVICE GROUP INC

Office #1: 4812 Northwestern Avenue, Mount Pleasant, WI 53406
RIA
CRD#: 107893
Mount Pleasant, WI
Past

April 25, 2023 - February 2, 2024

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Hales Corner, WI
Past

January 11, 2022 - February 2, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Hales Corner, WI
Past

April 8, 2019 - January 7, 2022

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Germantown, WI
Past

February 4, 2017 - April 9, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
GERMANTOWN, WI

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".
FINANCIAL SERVICE GROUP INC
FINANCIAL SERVICE GROUP INC
FINANCIAL SERVICE GROUP INC

CRD#: 107893 / SEC#: 801-41991

RIA
Registered Investment Advisory firm - (8/3/1992 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
Wisconsin
(2/5/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/22/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/11/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/4/2017
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FINANCIAL SERVICE GROUP INC
FINANCIAL SERVICE GROUP INC
FINANCIAL SERVICE GROUP INC

CRD#: 107893 / SEC#: 801-41991

RIA
Registered Investment Advisory firm - (8/3/1992 Approved)
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Contact information

Main Address
4812 Northwestern Avenue, Mount Pleasant, WI 53406
Mailing Address
Phone number
(262) 554-4500
Established
Firm type
Fiscal year end
# of Employees
8

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

2026 ADV PART 2 (1/23/2026)

Regulatory assets under management

Total Number of Accounts645
AUM (Assets Under Management)$ 214,995,359

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

FINANCIAL SERVICE GROUP INC

FINANCIAL SERVICE GROUP INC

CRD#: 107893Mount Pleasant, WI 53406

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