TK
Thomas J. Kiernan
FINANCIAL SERVICE GROUP
Mount Pleasant, WI 53406
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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.
NORTHWESTERN MUTUAL POSITION: Former Financial Advisor NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2017 ADDRESS: 4620 N Ballard Rd, Appleton WI 54913, United States DESCRIPTION: No duties or responsibilities. Former Financial Advisor. No client contact or servicing of accounts since I left in March 2019. ALLSTATE FINANCIAL SERVICES, LLC POSITION: Former Personal Financial Representative NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2019 ADDRESS: 2920 S 84th St, Lincoln NE 68506, United States DESCRIPTION: No duties or responsibilities. Former Personal Financial Representative. No client contact or servicing of accounts since I left in January 2022. HALES CORNERS LIBRARY POSITION: President, Board Member NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/22/2023 ADDRESS: 5885 S 116th St, Hales Corners WI 53130, United States DESCRIPTION: The President shall preside at all meetings of the Board, set the agenda for meetings in consultation with the Library Director, authorize calls for any special meetings, appoint all committees, execute all documents authorized by the board, serve as an ex-officio voting member of all committees except the nominating committee, co-sign all checks drawn on funds held in custody of the library (independently of the municipality), serve as spokesperson on behalf of the Library Board and generally perform all duties associated with that office. Officer term is 1 year and voted on during annual meeting in June of each year.Two signatures are required on Library Board Fund checks; authority to sign checks is given to the treasurer, director, and board president. Checks are generally available at the library board meeting or on an as-needed basis during the month. ?
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Kiernan'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
February 5, 2024 - Present
FINANCIAL SERVICE GROUP INC
Office #1: 4812 Northwestern Avenue, Mount Pleasant, WI 53406RIA
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
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FINANCIAL SERVICE GROUP INC
FINANCIAL SERVICE GROUP INC
CRD#: 107893 / SEC#: 801-41991
RIA
Registered Investment Advisory firm - (8/3/1992 Approved)Upgrade to AdvisorCheck Premium
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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
9
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 909 |
| AUM (Assets Under Management) | $ 324,696,730 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FINANCIAL SERVICE GROUP INC
CRD#: 107893Mount Pleasant, WI 53406TRUST BUT VERIFY
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