Thomas Shumosic, financial advisor Wilmington DE
96 score

Thomas Shumosic

CRD Number: 1913737
Current Firm: Kestra Advisory Services, LLC

Thomas Shumosic (CRD# 1913737) is an Investment Advisor Representative working at Kestra Advisory Services, LLC in Wilmington, DE and has over 27 years of experience in the finance industry. Thomas Shumosic has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Kestra Financial, Inc. Wilmington, DE Jun 2017 - Current < 1
Mid Atlantic Retirment Planning Specialists Wilmington, DE Jul 2012 - Current 5
Rockwood Financial Group Wilmington, DE Oct 1997 - Current 20
Cadaret, Grant & Company, Inc. Wilmington, DE Jan 1998 - Jun 2017 19
Retirement Planning Specialists Wilmington, DE Jul 2008 - Jun 2012 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1990
Contact Info for Thomas F. Shumosic
Phone Number: 7374437101
Registered State(s):
  • DE
By the Numbers
  • Total Assets Under Management
    16,009
    MILLIONS
  • Total Number of Accounts
    63,471
    ACCOUNTS
  • Average Account Value
    $252,225
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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