TS
Thomas R. Sweet
PACKERLAND BROKERAGE SERVICES
Hartford, WI
Some features on this profile are disabled
CRD#: 870779
TS
Professional summary
Thomas Robert Sweet is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in Hartford, Wisconsin.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Thomas has worked at 21 firms and has passed the Series 65, Series 63, Series 6TO, Series 52TO, SIE, Series 7, Series 1, Series 53, Series 24 and Series 26 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.
Business Name: Affordable Appraisal and Realty Investment Related: Yes Address: 450 E. Veterans Drive Unit 1 Muskego WI 53149 Nature of Business: Real Estate Position, Title or Relationship: Salesperson supervised by a Broker Start Date: 1/1/1987 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Occasional buying of real estate on behalf of a client Business Name: Thomas Sweet Insurance Services Investment Related: Yes Address: 32 S. Teri Lane Hartford WI 53027 Nature of Business: Insurance Position, Title or Relationship: Owner Start Date: 9/1/1979 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Provide insurance consulting to clients who want it
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Robert Sweet's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Robert Sweet's 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®
NoneExperience
Current
August 16, 2021 - Present
PACKERLAND BROKERAGE SERVICES, INC.
RIA
BD
CRD#: 37031
Hartford, WI
Current
August 17, 2021 - Present
PACKERLAND BROKERAGE SERVICES, INC.
RIA
BD
CRD#: 37031
Hartford, WI
Past
August 5, 2020 - August 24, 2020
UNITED ADVISORS AMERICA
RIA
CRD#: 147350
Hartford, WI
Past
January 11, 2019 - August 11, 2020
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Hartford, WI
Past
January 11, 2019 - August 11, 2020
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
WAUKESHA, WI
Past
February 20, 2018 - December 31, 2018
PACKERLAND BROKERAGE SERVICES, INC.
RIA
CRD#: 37031
HARTFORD, WI
Past
February 20, 2018 - December 31, 2018
PACKERLAND BROKERAGE SERVICES, INC.
BD
CRD#: 37031
HARTFORD, WI
Past
January 26, 2015 - February 23, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
HARTLAND, WI
Past
January 26, 2015 - February 23, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
HARTLAND, WI
Past
May 1, 2014 - January 23, 2015
ASSOCIATED INVESTMENT SERVICES, INC.
RIA
CRD#: 1464
MENOMONEE FALLS, WI
Past
April 16, 2014 - January 23, 2015
ASSOCIATED INVESTMENT SERVICES, INC.
BD
CRD#: 1464
MENOMONEE FALLS, WI
Past
July 26, 2000 - September 27, 2002
MARITIME FINANCIAL ADVISORS INC
RIA
CRD#: 113218
WAUKESHA, WI
Past
December 17, 1998 - April 14, 2014
NEW ENGLAND SECURITIES
RIA
CRD#: 615
BROOKFIELD, WI
Past
December 16, 1998 - April 14, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
BROOKFIELD, WI
Past
June 6, 1994 - December 4, 1998
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
October 12, 1993 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
June 6, 1989 - June 23, 1993
WELLINGTON INVESTMENT SERVICES CORP.
BD
CRD#: 23018
BROOKFIELD, WI
Past
May 13, 1988 - June 17, 1989
EQUITY SERVICES, INC.
BD
CRD#: 265
Past
March 10, 1988 - March 21, 1988
WINDSOR EQUITY CORPORATION
BD
CRD#: 13093
Past
November 13, 1986 - March 16, 1988
DREHER & ASSOCIATES, INC.
BD
CRD#: 8665
Past
July 24, 1986 - December 13, 1986
MILLER FINANCIAL CORP.
BD
CRD#: 13759
Past
January 16, 1986 - July 15, 1986
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
May 20, 1983 - February 12, 1986
NEW ENGLAND SECURITIES
BD
CRD#: 615
Past
November 20, 1981 - May 12, 1983
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Past
November 26, 1980 - September 11, 1981
SUPENA-NYMAN INVESTMENT CORPORATION
BD
CRD#: 8067
Past
August 31, 1979 - January 31, 1981
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
August 31, 1979 - January 31, 1981
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
August 31, 1979 - January 31, 1981
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
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".
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)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
Florida(10/31/2023)
IAR
Wisconsin(8/16/2021)
RR
Wisconsin(8/17/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/22/1979
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
432 Security Blvd. Ste. 101, Green Bay, WI 54313-9709
Mailing Address
432 Security Blvd., Green Bay, WI 54313
Phone number
(920) 662-9500
Established
Wisconsin since 07/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
286
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
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.
