Thomas Lee Frey

Current Employers

Sterling Wealth Management, Inc.

301 N. Neil Street, Suite 203, Champaign, IL 61820 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2014-09-08

IL RA
APPROVED

Since 2014-09-08

Branch Locations

301 N. Neil Street, Suite 203, Champaign, IL 61820 • United States

Frey Financial

2730, Urbana, IL 61802 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	1998-10-14

IL RA
APPROVED

Since 1998-10-14

Branch Locations

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Frey Financial	Savoy	IL	06/1993	Present

06/1993 → Present

Frey Financial

Savoy, IL

Previous Registrations

1998-10-14 → 2002-12-31

Frey Financial

Savoy, IL

Other Businesses

MR. FREY IS THE SOLE PROPRIETOR OF THOMAS LEE FREY D/B/A FREY FINANCIAL, AN INVESTMENT ADVISER REGISTERED WITH THE STATE OF ILLINOIS. MR. FREY HAS OWNED THIS BUSINESS SINCE 1993 AND CURRENTLY CONSULTS WITH FORMER CLIENTS AS REQUESTED AND REVIEWS FORMER CLIENT INVESTMENT ACCOUNT STATEMENTS. FREY FINANCIAL HAS NO REGULAR HOURS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-12-15
S63	Uniform Securities Agent State Law Examination	1990-09-19

S65 Uniform Investment Adviser Law Examination

1993-12-15
S63 Uniform Securities Agent State Law Examination

1990-09-19

View on SEC IAPD