Thomas Stapleton has been an investment adviser representative at Van Clemens Wealth Management since May 2026, and is not listed among the firm’s executive officers or direct owners.
Van Clemens Wealth Management, LLC is a Minneapolis, MN firm with $470M under management, 616 clients and 24 advisers across 6 offices, as of its September 2026 filing.
Thomas Stapleton’s longest registration was 1 year at Principal Securities, Inc. (2022–2024). Before joining Van Clemens Wealth Management in 2026, Thomas Stapleton was registered through Collective Wealth Partners, LLC and Applied Wealth Management.
- – present · under a yearSmyrna, GA · Adviser representative · Firm CRD 297362
- Collective Wealth Partners, LLC– · 1 yearSmyrna, GA · Adviser representative · Firm CRD 317519
- Applied Wealth Management– · under a yearSmyrna, GA · Adviser representative · Firm CRD 318732
- Principal Securities, Inc.– · 1 yearAtlanta, GA · Adviser representative · Firm CRD 1137
- Transamerica Financial Advisors, Inc.– · 1 yearAtlanta, GA · Adviser representative · Firm CRD 16164
Investment adviser representative registrations
Thomas Stapleton is registered as an investment adviser representative in Georgia, since May 2026.
- GeorgiaSince 21 May 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 21 January 2022 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 June 2021 |
| Series 65 | Uniform Investment Adviser Law Examination | 11 April 2021 |
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 5 December 2020 |
| SIE | Securities Industry Essentials Examination | 22 February 2020 |
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Thomas Henry Stapleton
- CRD
- 6502963
- Firm
- Van Clemens Wealth Management · CRD 297362
- Office
- Smyrna, GA
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 2021
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Thomas Stapleton work?
Thomas Stapleton is an investment adviser representative registered through Van Clemens Wealth Management, LLC since May 2026, and is not listed among the firm’s executive officers or direct owners.
Is Thomas Stapleton a financial advisor?
Yes. Thomas Stapleton has a current investment-adviser registration in Georgia, through Van Clemens Wealth Management since May 2026.
How many years of experience does Thomas Stapleton have?
Thomas Stapleton has 5 years in the financial industry, since January 2021, across 5 adviser firms.
What exams has Thomas Stapleton passed?
Thomas Stapleton has passed 5 licensing exams: the SIE, Series 6TO, Series 65, Series 63 and Series 7TO. The earliest, the SIE, was passed in February 2020.
Where did Thomas Stapleton work before Van Clemens Wealth Management?
Before Van Clemens Wealth Management, Thomas Stapleton was registered through Collective Wealth Partners, LLC, May 2025 to May 2026; Applied Wealth Management, July 2024 to April 2025; Principal Securities, Inc., August 2022 to July 2024; Transamerica Financial Advisors, Inc., April 2021 to July 2022.
Where is Thomas Stapleton based?
Thomas Stapleton’s registered office is in Smyrna, GA.
Is Thomas Stapleton registered with FINRA?
Yes. Thomas Stapleton has a current broker registration, under CRD 6502963.
Source: FINRA BrokerCheck
How can I verify Thomas Stapleton’s record?
Search CRD 6502963 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Thomas Stapleton’s full registration record.