Thomas Wozniak is a registered investment advisor, based in Milwaukee, WI, with 21 years of industry experience.
Location
115 S. 84th Street, Suite 275, Milwaukee, WI, 53214
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas is an agent and part owner of Compass Benefit Specialists, Inc., working there about 70% of the time as an independent contractor. He also works as an Investment Advisor Representative for Belpointe Asset Management, LLC, dedicating nearly full-time hours to providing investment advisory services.
Employment History
Current Registrations
D.H. Hill Securities, Lllp
D.H. Hill Securities, LllpBroker
Belpointe Asset Management LLC
Previous Registrations
Freedom Wealth Alliance
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
MML Investors Services, LLC
MML Investors Services, LLCBroker
Msi Financial Services, INC.
Msi Financial Services, INC.Broker
New England Securities Corporation
New England SecuritiesBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.