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TB

Thomas Booth

LANDAAS & COMPANY
Milwaukee, WI 53202
Some features on this profile are disabled
CRD#: 7265668
TB

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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas Edward Booth | Tom Booth

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.
Door Dash

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

Click below to view Thomas Booth'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

April 13, 2023 - Present

LANDAAS & COMPANY

Office #1: 411 E Wisconsin Ave 20th Floor, Milwaukee, WI 53202
RIA
BD
CRD#: 47487
Milwaukee, WI
Current

April 13, 2023 - Present

LANDAAS & COMPANY

Office #1: 411 E. Wisconsin Ave, Milwaukee, WI 53202
RIA
BD
CRD#: 47487
Milwaukee, WI
Past

September 10, 2020 - March 30, 2023

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
MILWAUKEE, WI
Past

August 5, 2020 - March 30, 2023

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
MILWAUKEE, 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".
L&
LANDAAS & COMPANY
LANDAAS | LANDAAS & COMPANY, LLC | LANDAAS & COMPANY

CRD#: 47487 / SEC#: 801-45055, 8-51826

RIA
Registered Investment Advisory firm - SEC (10/25/1993 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Wisconsin
(4/13/2023)
IAR
Wisconsin
(4/13/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/5/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/5/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/23/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

L&
LANDAAS & COMPANY
LANDAAS | LANDAAS & COMPANY, LLC | LANDAAS & COMPANY

CRD#: 47487 / SEC#: 801-45055, 8-51826

RIA
Registered Investment Advisory firm - SEC (10/25/1993 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
411 E. Wisconsin Ave 20th Floor, Milwaukee, WI 53202
Mailing Address
411 E. Wisconsin Ave, Milwaukee, WI 53202
Phone number
(414) 223-1099
Established
Wisconsin since 07/20/1989
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
25

SEC notice filing (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

LANDAAS & COMPANY BROCHURE (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
NEESE, LAUREN ELIZABETHMEMBER4653462
NEESE, REUBENMEMBER5509932
RWL HOLDINGS, INC.MEMBER
TETTING, KYLE ARTHURPRESIDENT5579589
LANDAAS, ROBERT WILLIAMCHAIRMAN AND CEO818449
SADZEWICZ, GERY JOSEPHCHIEF COMPLIANCE OFFICER1090963
SHEA, THOMAS EDWARDFINOP2299633

Regulatory assets under management

Total Number of Accounts4,030
AUM (Assets Under Management)$ 1,724,224,069

Disclosures

Regulatory Event2

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/24/2025
Cover Page
Report
11/22/2024
Cover Page
Report
10/25/2023
Cover Page
Report

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

LANDAAS & COMPANY

CRD#: 47487Milwaukee, WI 53202

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