Thomas J. Warden

WARDEN WEALTH MANAGEMENT

MILWAUKEE, WI 53202

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CRD#: 2866001

Professional summary

Thomas Joseph Warden, who also goes by Tom Warden, is a registered financial advisor currently at WARDEN WEALTH MANAGEMENT, LLC located in Milwaukee, Wisconsin.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Thomas has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Warden

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.

1. CITY LIGHTS CONDOMINIUM ASSOCIATION PRESIDENT. NOT INVESTMENT RELATED. 1725 NORTH PALMER ST MILWAUKEE, WI 53212 DUTIES INCLUDE TYPICAL BOARD MEMBER ACTIVITIES. 2. WARDEN BUSINESS MANAGEMENT, LLC OWNER. NOT INVESTMENT RELATED. 770 NORTH JEFFERSON ST SUITE 230 MILWAUKEE, WI 53202. WBM IS A CONSULTING FIRM WHERE BUSINESS, MANAGEMENT, MARKETING, AND OTHER RELATED ADVICE AND SERVICES ARE PROVIDED. AN ESTIMATE OF 10 TO 20 HOURS PER YEAR WILL BE SPENT ON THIS BUSINESS. 3. WARDEN FARM, LLC 1725 N PALMER ST MILWAUKEE, WI 53212. MEMBER and AGENT FOR FARM PROPERTY OWNED BY OUR FAMILY. PARENTS AND SIBLINGS ARE OTHER MEMBERS. NOT INVESTMENT RELATED. AN ESTIMATE OF 100 HOURS PER YEAR WILL BE SPENT ON THIS BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Warden'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®

None

Experience

Current

January 4, 2010 - Present

WARDEN WEALTH MANAGEMENT, LLC

Office #1: 600 East Wisconsin Ave Suite 107, Milwaukee, WI 53202

RIA

CRD#: 150493

MILWAUKEE, WI

Past

August 21, 2009 - December 31, 2009

WARDEN WEALTH MANAGEMENT, LLC

RIA

CRD#: 150493

MILWAUKEE, WI

Past

June 1, 2009 - August 24, 2009

MORGAN STANLEY

RIA

CRD#: 149777

WAUWATOSA, WI

Past

June 1, 2009 - August 24, 2009

MORGAN STANLEY

CRD#: 149777

WAUWATOSA, WI

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

WAUWATOSA, WI

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

WAUWATOSA, WI

Past

January 18, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WAUWATOSA, WI

Past

June 23, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

WAUWATOSA, WI

Past

April 22, 1997 - June 28, 2006

PIPER SANDLER & CO.

CRD#: 665

MILWAUKEE, WI

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.

Highlighted states indicate IAR registrations

IAR

Texas
(5/16/2023)

IAR

Wisconsin
(1/4/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/5/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/28/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/21/1997

General Securities Representative Examination

Current Firm

WARDEN WEALTH MANAGEMENT, LLC

WARDEN FAMILY WEALTH MANAGEMENT, LLC | WARDEN WEALTH MANAGEMENT, LLC

CRD#: 150493 / SEC#: 801-70370

RIA

Registered Investment Advisory firm - (1/4/2010 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2023 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (1/4/2010 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

600 East Wisconsin Ave Suite 107, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 270-4500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	116
AUM (Assets Under Management)	$ 22,700,000

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.

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Advisor Monitoring

Firm Stability Insights

Thomas J. Warden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Warden's CRS (Customer Relationship Summary).

Certified licenses

Experience

WARDEN WEALTH MANAGEMENT, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PIPER SANDLER & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/1997

Series 63

Date: 4/28/1997

Series 7

Date: 4/21/1997

Current Firm

WARDEN WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WARDEN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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