Thomas John Adolph

Current Employers

Ip Financial Advisory Services Llc

5950 Fairview Road, Suite 140, Charlotte, NC 28210 • United States

Current Registrations

Authority	Category	Status	Date
MT	RA	APPROVED	2020-02-06

MT RA
APPROVED

Since 2020-02-06

Branch Locations

322 2Nd Avenue W. Ste: G, Kalispell, MT 59901 • United States

5950 Fairview Road, Suite 140, Charlotte, NC 28210 • United States

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
Kms Financial Services, Inc.	Seattle	WA	12/2009	10/2017
Adolph & Bothwell Financial Advisors, Llc	Kalispell	MT	02/2006	Present
Innovation Partners Llc	Charlotte	NC	10/2017	Present
Ip Financial Advisory Services	Charlotte	NC	01/2020	Present

12/2009 → 10/2017

Kms Financial Services, Inc.

Seattle, WA
02/2006 → Present

Adolph & Bothwell Financial Advisors, Llc

Kalispell, MT
10/2017 → Present

Innovation Partners Llc

Charlotte, NC
01/2020 → Present

Ip Financial Advisory Services

Charlotte, NC

Previous Registrations

2009-12-15 → 2017-10-10

Kms Financial Services, Inc.

Kalispell, MT

Seattle, WA

Bigfork, MT
2005-08-29 → 2009-12-10

S.G. Long & Company

Kalispell, MT

Missoula, MT

Missoula, MT

Missoula, MT
2000-04-06 → 2005-08-30

Waddell & Reed

Kalispell, MT

Other Businesses

VARIOUS INSURANCE - NON-INVESTMENT RELATED - SAME ADDRESS - INSURANCE - AGENT/CONTRACTOR - 1999 - 10 HRS/MO - 7 HRS/MO DURING TRADING - DISABILITY, LTC, AND OTHER INSURANCE PRODUCT SALES **ADOLPH & BOTHWELL FINANCIAL ADVISORS LLC - INVESTMENT RELATED - SAME ADDRESS - CO-OWNER - ENTITY FOR ADVISORY SERVICES BUSINESS. 1 HR/MO, 1 HR/MO DURING TRADING - 8/2005 Innovation Partners LLC - Registered Repreentative

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-10-15

S66 Uniform Combined State Law Examination

1999-10-15

View on SEC IAPD