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Thomas James Berkholtz

Annex Wealth Management, LLC

Brookfield, WI

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Current Employers
Annex Wealth Management, Llc

17950 W. Corporate Drive Suite 300, Brookfield, WI 53045 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2020-09-23
  • WI RA
    APPROVED
    Since 2020-09-23

Branch Locations

17950 W. Corporate Drive Suite 300, Brookfield, WI 53045 • 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
Bmo Harris Bank Madison WI 12/2015 06/2017
Legacy Advisor Network Madison WI 06/2017 06/2018
Kalos Capital Alpharetta GA 06/2018 08/2020
Annex Wealth Management Elm Grove WI 08/2020 Present
  • 12/2015 → 06/2017
    Bmo Harris Bank
    Madison, WI
  • 06/2017 → 06/2018
    Legacy Advisor Network
    Madison, WI
  • 06/2018 → 08/2020
    Kalos Capital
    Alpharetta, GA
  • 08/2020 → Present
    Annex Wealth Management
    Elm Grove, WI
Previous Registrations
  • 2019-12-16 → 2020-10-02
    Kalos Management
    Ponte Vedra Beach, FL
    Evansville, WI
Other Businesses

Annex Insurance Services, LLC. May on occasion recommend insurance products. Receives no commissions. Annex Tax Services, LLC. May on occasion prepare tax returns. Received no additional compensation.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-16
  • S66 Uniform Combined State Law Examination
    2019-12-16
Designations
Other Names
  • Tom James Berkholtz

View on SEC IAPD

Other Firms

RBC CAPITAL MARKETS, LLC
MARINER
M HOLDINGS SECURITIES, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
AMERIPRISE FINANCIAL SERVICES, LLC
ENTASIS ASSET MANAGEMENT LLC
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
WHN INVESTOR SERVICES, INC.

Other Investors

DEANNE E PHILLIPS
MATTHEW ROSS KRENKE
Eric Gustav Strom
Heather Christine Shutta
Jeffrey Lynn Stanich
Clayton Joel Beilfuss
Logan Alexander Kepler
Ryan Jeffrey Komas

Other Offices

RBC CAPITAL MARKETS, LLC · BROOKFIELD, WI
MARINER · BROOKFIELD, WI
M HOLDINGS SECURITIES, INC. · Brookfield, WI
STATE FARM INVESTMENT MANAGEMENT CORP. · Brookfield, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Brookfield, WI
ENTASIS ASSET MANAGEMENT LLC · Brookfield, WI
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · BROOKFIELD, WI
WHN INVESTOR SERVICES, INC. · BROOKFIELD, WI

More in Brookfield, WI

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