Thomas M. Windom

ETHOS FINANCIAL PLANNING

CLEVELAND, OH

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CRD#: 6771230

Professional summary

Thomas Michael Windom, who also goes by Thomas Michael Windom, is a registered financial advisor currently at ETHOS FINANCIAL PLANNING located in Cleveland, Ohio.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Thomas has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Michael Windom

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.

THOMAS WINDOM, 1336 W 104TH ST., CLEVELAND, OH, 08/2022, REAL ESTATE INVESTOR/LANDLORD, NIR, 1 HR/MO, 0 HR/MO TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Windom'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®

None

Experience

Current

October 29, 2024 - Present

ETHOS FINANCIAL PLANNING

RIA

CRD#: 333162

CLEVELAND, OH

Past

August 12, 2022 - July 26, 2024

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Strongsville, OH

Past

August 12, 2022 - July 26, 2024

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

STRONGSIVLLE, OH

Past

April 19, 2022 - July 1, 2022

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

Cleveland, OH

Past

January 5, 2022 - July 1, 2022

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

Cleveland, OH

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
(10/29/2024)

IAR

Texas
(6/20/2025)

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

State Security Law Exam

IAR

Series 66

Date: 2/23/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/5/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/13/2021

Securities Industry Essentials Examination

Current Firm

ETHOS FINANCIAL PLANNING

ETHOS FINANCIAL PLANNING | ETHOS FINANCIAL PLANNING LLC

CRD#: 333162 / SEC#:

Ohio

Registered Investment Advisory firm - (10/29/2024 Approved)

Texas

Registered Investment Advisory firm - (6/20/2025 Conditional Restricted)

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Contact information

Main Address

Cleveland, OH

Mailing Address

Phone number

(216) 526-5521

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Firm Stability Insights

Thomas M. Windom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Windom's CRS (Customer Relationship Summary).

Certified licenses

Experience

ETHOS FINANCIAL PLANNING

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2022

Series 7TO

Date: 1/5/2022

SIE

Date: 10/13/2021

Current Firm

ETHOS FINANCIAL PLANNING

Contact information

Documents

Red Flags

Company Information

ETHOS FINANCIAL PLANNING

TRUST BUT VERIFY

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