Thomas Booth
Professional Summary
Thomas Booth, who also goes by Thomas Edward Booth, Tom Booth, is a registered financial advisor currently at LANDAAS & COMPANY located in Milwaukee, Wisconsin. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Thomas has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Edward Booth, Tom Booth
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
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.
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
Years of Experience
6 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
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 |
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
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.
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
Primary Firm SEC Registration
LANDAAS | LANDAAS & COMPANY, LLC | LANDAAS & COMPANY
State Registrations and Notice Filings
(9/23/2026)
(9/23/2026)
(4/13/2023)
(4/13/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Booth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Booth's CRS (Customer Relationship Summary).
Similar Advisors
BKM WEALTH MANAGEMENT
INDEPENDENT FINANCIAL PARTNERS
DRAKE & ASSOCIATES, LLC