Thomas M. Wargin

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CRD#: 831840

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 Mark Wargin, CFP® was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1977. Thomas had worked at 3 firms and has passed the Series 7, Series 1 and Series 24 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®

CFP^®

Certified Financial Planner

Start date: 1985

Experience

Past

July 5, 2000 - December 31, 2023

LIBERTY FINANCIAL GROUP, INC.

RIA

CRD#: 111272

ELM GROVE, WI

Past

September 22, 1981 - December 7, 2000

LIBERTY INVESTMENT COUNSEL, LTD.

CRD#: 10062

ELM GROVE, WI

Past

January 3, 1977 - July 22, 1981

ALL AMERICAN MANAGEMENT CORPORATION

CRD#: 21

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".

LIBERTY FINANCIAL GROUP, INC.

LIBERTY ADVISORS INC | WOMEN'S FINANCIAL SERVICES | LIBERTY FINANCIAL GROUP, INC.

CRD#: 111272 / SEC#: 801-124940

RIA

Registered Investment Advisory firm - (5/4/2022 Approved)

Florida

Registered Investment Advisory firm - (1/20/2025 Terminated)

Illinois

Registered Investment Advisory firm - (12/31/2019 Terminated)

Texas

Registered Investment Advisory firm - (1/20/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/8/2022 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

General Industry/Product Exam

Series 7

Date: 8/18/1979

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 12/17/1976

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/8/1981

General Securities Principal Examination

Current Firm

LIBERTY FINANCIAL GROUP, INC.

LIBERTY ADVISORS INC | WOMEN'S FINANCIAL SERVICES | LIBERTY FINANCIAL GROUP, INC.

CRD#: 111272 / SEC#: 801-124940

RIA

Registered Investment Advisory firm - (5/4/2022 Approved)

Florida

Registered Investment Advisory firm - (1/20/2025 Terminated)

Illinois

Registered Investment Advisory firm - (12/31/2019 Terminated)

Texas

Registered Investment Advisory firm - (1/20/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/8/2022 Terminated)

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Contact information

Main Address

13150 Watertown Plank Rd Suite 203, Elm Grove, WI 53122

Mailing Address

Phone number

(262) 785-1377

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

PART 2A (1/23/2025)

Regulatory assets under management

Total Number of Accounts	639
AUM (Assets Under Management)	$ 125,162,344

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. Wargin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LIBERTY FINANCIAL GROUP, INC.

LIBERTY INVESTMENT COUNSEL, LTD.

ALL AMERICAN MANAGEMENT CORPORATION

Primary Firm SEC Registration

LIBERTY FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 7

Date: 8/18/1979

Series 1

Date: 12/17/1976

Series 24

Date: 12/8/1981

Current Firm

LIBERTY FINANCIAL GROUP, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIBERTY FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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