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Thomas William Behlke

Behlke Financial

Independence, OH

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Current Employers
Behlke Financial

North Royalton, OH • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2013-10-31
TX RA APPROVED 2011-06-14
  • MI RA
    APPROVED
    Since 2013-10-31
  • TX RA
    APPROVED
    Since 2011-06-14

Branch Locations

4807 Rockside Rd. Suite 400, Independence, OH 44131 • 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
OrganizationCityStateFromTo
Fsc Securities Corporation Independence OH 11/2005 11/2023
Osaic Wealth, Inc. North Royalton OH 11/2023 Present
  • 11/2005 → 11/2023
    Fsc Securities Corporation
    Independence, OH
  • 11/2023 → Present
    Osaic Wealth, Inc.
    North Royalton, OH
Previous Registrations
  • 2005-12-05 → 2008-05-22
    Fsc Securities Corporation
    North Royalton, OH
    Independence, OH
    Independence, OH
  • 2004-10-12 → 2005-04-01
    Pan-American Investment Advisers, Inc.
    Independence, OH
Other Businesses

1. BEHLKE FINANCIAL POSITION: Investment Advisory Rep NATURE: Registered Investment Adviser INVESTMENT RELATED: Yes NUMBER OF HOURS: 300 SECURITIES TRADING HOURS: 275 START DATE: 01/10/2005 ADDRESS: 6580 Queens Way, North Royalton OH 44133, United States DESCRIPTION: Behlke Financial is a sole proprietorship and Investment Adviser registered with the state of OH offering investment advisory products and services to individual clients. 2. THOMAS BEHLKE - INSURANCE POSITION: Owner NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/14/1999 ADDRESS: 6580 Queens Way, North Royalton OH 44133, United States DESCRIPTION: Review fixed insurance policy for client.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-08-24
S63 Uniform Securities Agent State Law Examination 1988-12-30
  • S65 Uniform Investment Adviser Law Examination
    2004-08-24
  • S63 Uniform Securities Agent State Law Examination
    1988-12-30
Designations

View on SEC IAPD

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