Thomas A. Kotick

Some features on this profile are disabled

CRD#: 7475698

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Andrew Kotick, CFP® was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2021. Thomas had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

(1) Thomas A. Kotick, CPA; not investment-related; 4702 Paradise Road, Seville, OH, 44273; income tax compliance services; owner; no relationship with Signal Tree Financial Partners LLC; start date: 7/1/1999; 2 hours per month; 0 hours during trading; provides friends and family with tax return preparation services. (2) Habitat for Humanity of Medina County; not investment-related; 233 Lafayette Road, Medina, OH, 44256; charitable organization; Treasurer, Board Member; no relationship with Signal Tree Financial Partners LLC; start date: 12/1/2019; 5 hours per month; 0 hours during trading; participates in board meetings and chairs the finance committee. (3) St. Matthew Evangelical Lutheran Church; not investment-related; 400 North Broadway, Medina, OH, 44256; charitable organization; President; no relationship with Signal Tree Financial Partners LLC; start date: 1/1/2021; 5 hours per month; 0 hours during trading; chairs the 7 person Executive Council, works with pastoral staff to execute organization's mission in accordance with the Constitution and Bylaws. (4) St. Matthew LGL Samaritan Fund Board; not investment-related; 400 North Broadway, Medina, OH, 44256; charitable organization; Board Member; no relationship with Signal Tree Financial Partners LLC; start date: 1/1/2019; 1 hour per month; 0 hours during trading; attends monthly meetings to review grant requests and make fund distribution decisions.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Past

December 14, 2021 - April 29, 2023

SIGNAL TREE FINANCIAL PARTNERS LLC

RIA

CRD#: 311871

COPLEY, OH

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".

SIGNAL TREE FINANCIAL PARTNERS LLC

CRD#: 311871 / SEC#: 801-131429

RIA

Registered Investment Advisory firm - (11/6/2024 Approved)

Ohio

Registered Investment Advisory firm - (11/18/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Current Firm

SIGNAL TREE FINANCIAL PARTNERS LLC

CRD#: 311871 / SEC#: 801-131429

RIA

Registered Investment Advisory firm - (11/6/2024 Approved)

Ohio

Registered Investment Advisory firm - (11/18/2024 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

840 Rothrock Road Suite 201, Copley, OH 44321

Mailing Address

Phone number

(330) 590-5937

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIGNAL TREE FINANCIAL DISCLOSURE BROCHURE (9/12/2025)

Regulatory assets under management

Total Number of Accounts	320
AUM (Assets Under Management)	$ 171,150,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas A. Kotick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIGNAL TREE FINANCIAL PARTNERS LLC

Primary Firm SEC Registration

SIGNAL TREE FINANCIAL PARTNERS LLC

State Registrations and Notice Filings

Exams

Current Firm

SIGNAL TREE FINANCIAL PARTNERS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIGNAL TREE FINANCIAL PARTNERS LLC

TRUST BUT VERIFY

Similar Advisors