Thom C. Berkowitz

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CRD#: 800605

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.

Thom Charles Berkowitz was a registered financial professional .

Thom is a previously registered financial professional and started their career in finance in 1974. Thom had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.

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.

The advisor shows no other business activity.

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®

None

Experience

Past

January 23, 2014 - June 3, 2016

BOULAY WEALTH

RIA

CRD#: 111334

MINNEAPOLIS, MN

Past

March 4, 2013 - February 12, 2015

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

MINNEAPOLIS, MN

Past

June 4, 1990 - May 15, 2006

CAPITAL MANAGEMENT SECURITIES, INC.

CRD#: 10579

MINNEAPOLIS, MN

Past

November 13, 1989 - June 12, 1990

AEGIS INVESTMENTS, INC.

CRD#: 16033

ST LOUIS PARK, MN

Past

June 23, 1982 - November 16, 1989

CREATIVE EQUITY RESOURCES, INC.

CRD#: 8190

MINNEAPOLIS, MN

Past

August 2, 1981 - June 30, 1982

LPL FINANCIAL LLC

CRD#: 6413

Past

October 24, 1978 - July 6, 1981

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Past

November 8, 1974 - September 25, 1978

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

Past

November 8, 1974 - September 25, 1978

SIGNATOR INVESTORS, INC.

CRD#: 468

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".

BOULAY WEALTH

BOULAY FINANCIAL ADVISORS, LLC | BOULAY WEALTH

CRD#: 111334 / SEC#: 801-60141

RIA

Registered Investment Advisory firm - (4/17/2001 Approved)

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

State Security Law Exam

IAR

Series 65

Date: 6/16/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/12/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 11/1/1974

Registered Representative Examination

Current Firm

BOULAY WEALTH

BOULAY FINANCIAL ADVISORS, LLC | BOULAY WEALTH

CRD#: 111334 / SEC#: 801-60141

RIA

Registered Investment Advisory firm - (4/17/2001 Approved)

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Contact information

Main Address

11095 Viking Drive Suite 500, Eden Prairie, MN 55344

Mailing Address

Phone number

(952) 893-9320

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BOULAY WEALTH AUG 2025 ADV 2A.2B (8/29/2025)

Regulatory assets under management

Total Number of Accounts	4,260
AUM (Assets Under Management)	$ 2,420,741,792

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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Advisor Monitoring

Firm Stability Insights

Thom C. Berkowitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

1ST GLOBAL CAPITAL CORP.

CAPITAL MANAGEMENT SECURITIES, INC.

AEGIS INVESTMENTS, INC.

CREATIVE EQUITY RESOURCES, INC.

LPL FINANCIAL LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

BOULAY WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 6/16/1992

Series 63

Date: 9/23/1981

SIE

Date: 2/12/2015

Series 1

Date: 11/1/1974

Current Firm

BOULAY WEALTH

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BOULAY WEALTH

TRUST BUT VERIFY

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