Thomas John Portz

Current Employers

Employment History

• 09/1997 → Present
  Sterling Financial Inc
  Brookfield, WI
• 01/2008 → Present
  Lumineux Corporation
  Waukesha, WI
• 02/2010 → 12/2025
  Moloney Securities Co., Inc.
  Manchester, MO
• 12/2025 → Present
  Berthel, Fisher & Company Financial Services, Inc.
  Waukesha, WI

Previous Registrations

• 2003-06-23 → 2009-08-18
  Waterstone Financial Group, Inc.
  Waukesha, WI

Other Businesses

STERLING CAPITAL MANAGEMENT INC - STERLING CAPITAL MANAGEMENT INC IS A FEDERALLY REGULATED INVESTMENT ADVISOR. TOM PORTZ HAS WORKED CONCURRENTLY WITH STERLING CAPITAL MANAGEMENT INC AND STERLING FINANCIAL SINCE AUGUST 1997 MISCELLANEOUS REAL ESTATE - FOR OVER 20 YEARS, I HAVE OWNED A NUMBER OF RENTAL PROPERTIES. OVERSIGHT IS MINIMAL, LESS THAN ONE BUSINESS HOUR PER WEEK. LUMINEUX CORPORATION - IN MY SPARE TIME I WORK ON VARIOUS IDEAS. I HAVE FILED A NUMBER OF THESE WITH THE U.S. AND CANADIAN PATENT OFFICES. I HAVE BEEN AWARDED 6 U.S. PATENTS AND HAVE OTHERS FILED AWAITING POSSIBLE APPROVAL. PRODUCE AND SELL NON-FUNGIBLE TOKENS (NFTs). I ESTABLISHED LUMINEUX IN LATE 2008 AS AN ENTITY TO COORDINATE THESE DESIGN AND PATENT IDEAS. MOST ALL OF THE TIME DEVOTED TO THIS EFFORT IS AFTER BUSINESS HOURS. I ESTIMATE THAT LUMINEUX REQUIRES LESS THAN ONE BUSINESS HOUR PER WEEK. NON-INVESTMENT RELATED FINE ART (PAINTING}, NOT INVESTMENT-RELATED, 1801 JENNIFER LANE, WAUKESHA, WI 53186, NO TIME IS DEVOTED DURING SECURITIES TRADING HOURS PUBLISHED AUTHOR. ELEPHANTS AND GRAPES. 17160 W. NORTH AVE #200, BROOKFIELD, WI 53005. WRITER/AUTHOR. NOT INVESTMENT RELATED. VERY LITTLE TIME, IF ANY, IS DEVOTED DURING SECURITIES TRADING HOURS.

Exams

• S63 Uniform Securities Agent State Law Examination
  1983-12-22

Designations