Thomas Ottman, financial advisor Minneapolis MN
38 score

Thomas Ottman

CRD Number: 1010394
Current Firm: Aquinas Capital Advisors LLC

Thomas Ottman (CRD# 1010394) is an Investment Advisor Representative working at Aquinas Capital Advisors LLC in Minneapolis, MN and has over 35 years of experience in the finance industry.

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Company Name Location Dates Years
Aquinas Capital Advisors LLC Blaine, MN May 2016 - Current < 1
Thomas Ottman, Sole Proprietor Blaine, MN Aug 1990 - Current 26
Advanced Advisory Group, LLC Cambridge, MN Nov 2013 - Apr 2016 2
Efs Advisors Group, LLC Cambridge, MN Nov 2013 - Apr 2016 2
Advanced Advisor Group, LLC Cambridge, MN Oct 2012 - Apr 2016 3
Feltl And Company Minneapolis, MN Oct 2003 - Sep 2012 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1981
S65 NASAA Investment Advisors Law Examination Jul 1996
S66 NASAA Uniform Combined State Law Examination Jun 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Thomas W. Ottman
Phone Number: 612-353-1845
Registered State(s):
  • MN
Current Firm Details
Aquinas Capital Advisors LLC
Firm's CRD Number: 283511
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States


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