Thomas Kleptz has been Principal and Chief Compliance Officer of Ot Financial since May 2010, is a control person of the firm and directly owns 75% or more of it.
Ot Financial, LLC is a Troy, OH firm with $170M under management, 113 clients and 1 adviser in one office, as of its March 2026 filing.
Investment adviser representative registrations
Thomas Kleptz is registered as an investment adviser representative in Ohio, since June 2014.
- OhioSince 16 June 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 12 June 2014 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Thomas Joseph Kleptz
- CRD
- 6317813
- Firm
- Ot Financial · CRD 170738
- Role
- Principal and Chief Compliance Officer
- Office
- 220 WEST MAIN STREET, Troy, OH 45373
- Registration
- Investment adviser registration
- In the industry since
- June 2014
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Kleptz work?
Thomas Kleptz has been Principal and Chief Compliance Officer of Ot Financial, LLC since May 2010, and is a control person of the firm.
Is Thomas Kleptz a financial advisor?
Yes. Thomas Kleptz has a current investment-adviser registration in Ohio, through Ot Financial since June 2014.
How many years of experience does Thomas Kleptz have?
Thomas Kleptz has 12 years in the financial industry, since June 2014, across 1 adviser firm.
What exams has Thomas Kleptz passed?
Thomas Kleptz passed the Series 65 in June 2014.
Where is Thomas Kleptz based?
Thomas Kleptz’s registered office is in Troy, OH.
Is Thomas Kleptz registered with FINRA?
No. Thomas Kleptz has no current broker registration.
How can I verify Thomas Kleptz’s record?
Search CRD 6317813 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Kleptz’s full registration record.