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Thomas Wayne Ottman

Aquinas Capital Advisors LLC

Blaine, MN

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Current Employers
Aquinas Capital Advisors Llc

Blaine, MN • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2016-05-26
  • MN RA
    APPROVED
    Since 2016-05-26

Branch Locations

Blaine, MN • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Aquinas Capital Advisors Llc Blaine MN 05/2016 Present
Thomas Ottman, Sole Proprietor Blaine MN 08/1990 01/2019
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-06-27
S65 Uniform Investment Adviser Law Examination 1996-07-23
S63 Uniform Securities Agent State Law Examination 1981-09-24
  • S66 Uniform Combined State Law Examination
    2013-06-27
  • S65 Uniform Investment Adviser Law Examination
    1996-07-23
  • S63 Uniform Securities Agent State Law Examination
    1981-09-24
Other Names
  • Thomas Ottman

View on SEC IAPD

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