Thomas M. Stoltman

BROOKWOOD INVESTMENT GROUP

Bloomington, MN

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CRD#: 803994

Professional summary

Thomas Michael Stoltman is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Bloomington, Minnesota.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Thomas has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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)INDEPENDENT INSURANCE AGENT, INVESTMENT RELATED, 3800 AMERICAN BLVD. WEST BLOOMINGTON, MN 55431, INSURANCE SALES, SINCE 01/1996, APPROXIMATELY 30 HOURS PER MONTH, SOME DURING TRADING HOURS. 2) REDWOOD TAX SPECIALISTS, INVESTMENT RELATED, MINNEAPOLIS/ST PAUL MN, MANAGING DIRECTOR, SINCE 10/20020, 10 HOURS PER WEEK, SOME TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Stoltman'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

June 20, 2025 - Present

BROOKWOOD INVESTMENT GROUP

RIA

CRD#: 316544

Bloomington, MN

Past

September 16, 2021 - March 31, 2025

REDWOOD PRIVATE WEALTH

RIA

CRD#: 312942

BLOOMINGTON, MN

Past

June 16, 2020 - September 20, 2021

BELPOINTE ASSET MANAGEMENT LLC

RIA

CRD#: 143440

Bloomington, MN

Past

August 13, 2018 - June 19, 2020

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

Bloomington, MN

Past

September 2, 2015 - August 13, 2018

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

Bloomington, MN

Past

December 6, 1999 - August 4, 2015

OAKWOOD CAPITAL SECURITIES, INC.

CRD#: 21000

MINNEAPOLIS, MN

Past

December 12, 1995 - December 7, 1999

ENERIC FINANCIAL SERVICES, INC.

CRD#: 11761

FAIRFIELD, IA

Past

November 2, 1990 - December 12, 1995

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

January 18, 1990 - October 31, 1990

KAVANAUGH SECURITIES, INC.

CRD#: 10606

DALLAS, TX

Past

November 7, 1989 - February 3, 1990

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

May 4, 1989 - November 7, 1989

VALUE EQUITIES CORPORATION

CRD#: 13316

Past

July 2, 1982 - May 9, 1989

CAPITAL MANAGEMENT SECURITIES, INC.

CRD#: 10579

Past

December 16, 1980 - July 7, 1982

MARQUETTE FINANCIAL GROUP, INC.

CRD#: 345

Past

February 3, 1976 - January 12, 1981

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

January 28, 1975 - February 14, 1976

NORTH STAR EQUITIES COMPANY

CRD#: 4241

Past

January 28, 1975 - January 15, 1981

THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY

CRD#: 2797

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".

BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA

Registered Investment Advisory firm - (10/18/2021 Approved)

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

Minnesota
(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 65

Date: 9/2/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/24/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/4/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 1/23/1975

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/19/1982

General Securities Principal Examination

Current Firm

BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA

Registered Investment Advisory firm - (10/18/2021 Approved)

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Contact information

Main Address

3930 E. Ray Road Suite 155, Phoenix, AZ 85044

Mailing Address

Phone number

(480) 646-3504

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROOKWOOD INVESTMENT GROUP FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	6,200
AUM (Assets Under Management)	$ 1,064,198,265

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. Stoltman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

REDWOOD PRIVATE WEALTH

BELPOINTE ASSET MANAGEMENT LLC

REGAL INVESTMENT ADVISORS LLC

SECURE INVESTMENT MANAGEMENT, LLC

OAKWOOD CAPITAL SECURITIES, INC.

ENERIC FINANCIAL SERVICES, INC.

EQUITY SERVICES, INC.

KAVANAUGH SECURITIES, INC.

TITAN/VALUE EQUITIES GROUP, INC.

VALUE EQUITIES CORPORATION

CAPITAL MANAGEMENT SECURITIES, INC.

MARQUETTE FINANCIAL GROUP, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

NORTH STAR EQUITIES COMPANY

THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY

Primary Firm SEC Registration

BROOKWOOD INVESTMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 9/2/2015

Series 63

Date: 10/24/1980

SIE

Date: 8/4/2015

Series 1

Date: 1/23/1975

Series 24

Date: 4/19/1982

Current Firm

BROOKWOOD INVESTMENT GROUP

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROOKWOOD INVESTMENT GROUP

TRUST BUT VERIFY

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