Thomas OttmanCRD 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.
Phillip James Financial Company
Royal Alliance Associates, Inc.
|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|
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
Total Assets Under Management8MILLIONS
Total Number of Accounts88ACCOUNTS
Average Account Value$90,909
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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