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Thomas John Rozman

Simplicity Wealth

Summit, NJ

Minneapolis, MN

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Current Employers
Simplicity Wealth

475 Springfield Ave. Suite #1, Summit, NJ 07901 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2022-01-19
  • MN RA
    APPROVED
    Since 2022-01-19

Branch Locations

475 Springfield Ave. Suite #1, Summit, NJ 07901 • United States

3600 American Boulevard West Suite 700, Minneapolis, MN 55439 • 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
Sawtooth Solutions, Llc Minneapolis MN 10/2016 12/2021
Unemployed Mound MN 07/2016 09/2016
Simplicity Solutions, Llc Minneapolis MN 10/2016 03/2024
Simplicity Wealth Summit NJ 01/2022 Present
  • 10/2016 → 12/2021
    Sawtooth Solutions, Llc
    Minneapolis, MN
  • 07/2016 → 09/2016
    Unemployed
    Mound, MN
  • 10/2016 → 03/2024
    Simplicity Solutions, Llc
    Minneapolis, MN
  • 01/2022 → Present
    Simplicity Wealth
    Summit, NJ
Previous Registrations
  • 2016-10-19 → 2024-03-27
    Simplicity Solutions, Llc
    Minneapolis, MN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-09-03
  • S63 Uniform Securities Agent State Law Examination
    1987-09-03
Designations
Other Names
  • Tom Rozman

View on SEC IAPD

Other Firms

CONCORD MANAGEMENT SERVICES, LLC
CONVERSANT CAPITAL LLC
J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
BIANCO WEALTH ADVISORS LLC
FORZA INVESTMENT GROUP, LP
TSP CAPITAL MANAGEMENT GROUP, LLC
OPPENHEIMER & CO. INC.

Other Investors

Mark B. Lewis
DAVID MORRIS MARGOLIS
KENNETH ALAN FREELUND
Giselle Wright
Matthew James Pejkovic
NICHOLAS ALFRED PISCIOTTI
Anthony Lewis
KRISTINE CHARBONNEAU O'KEEFE

Other Offices

CONCORD MANAGEMENT SERVICES, LLC · SUMMIT, NJ
CONVERSANT CAPITAL LLC · SUMMIT, NJ
J.P. MORGAN SECURITIES LLC · Summit, NJ
WELLS FARGO CLEARING SERVICES, LLC · SUMMIT, NJ
BIANCO WEALTH ADVISORS LLC · SUMMIT, NJ
FORZA INVESTMENT GROUP, LP · SUMMIT, NJ
TSP CAPITAL MANAGEMENT GROUP, LLC · SUMMIT, NJ
TSP CAPITAL MANAGEMENT GROUP, LLC · SUMMIT, NJ

More in Summit, NJ

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