Thomas Stockett has been Principal of Cleveland Wealth since October 2015, is a control person of the firm and directly owns between 50% and 75% of it.
Cleveland Wealth, LLC is a Cleveland, OH firm with $507M under management, 396 clients and 3 advisers in one office, as of its July 2026 filing.
Thomas Stockett’s longest registration is the current one, 10 years at Cleveland Wealth since 2016. Before joining Cleveland Wealth in 2016, Thomas Stockett was registered through Brokers Financial.
- Cleveland Wealth, LLCCurrent– present · 10 yearsCleveland, OH · Adviser representative · Firm CRD 282196
- Brokers Financial– · 4 yearsSelinsgrove, PA · Adviser representative · Firm CRD 139627
Investment adviser representative registrations
Thomas Stockett is registered as an investment adviser representative in Ohio, since April 2016.
- OhioSince 26 April 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 1 October 2011 |
| Series 65 | Uniform Investment Adviser Law Examination | 2 June 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 January 2011 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 23 December 2010 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Thomas Williams Stockett
- CRD
- 5863333
- Firm
- Cleveland Wealth · CRD 282196
- Role
- Principal
- Office
- 600 SUPERIOR AVENUE EAST, SUITE 2550, Cleveland, OH 44114
- Registration
- Investment adviser registration
- In the industry since
- September 2011
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Stockett work?
Thomas Stockett has been Principal of Cleveland Wealth, LLC since October 2015, and is a control person of the firm.
Is Thomas Stockett a financial advisor?
Yes. Thomas Stockett has a current investment-adviser registration in Ohio, through Cleveland Wealth since April 2016.
How many years of experience does Thomas Stockett have?
Thomas Stockett has 15 years in the financial industry, since September 2011, across 2 adviser firms.
What exams has Thomas Stockett passed?
Thomas Stockett has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in December 2010. FINRA credited Thomas Stockett with the SIE, which began in October 2018.
Where did Thomas Stockett work before Cleveland Wealth?
Before Cleveland Wealth, Thomas Stockett was registered through Brokers Financial, September 2011 to April 2016.
Where is Thomas Stockett based?
Thomas Stockett’s registered office is in Cleveland, OH.
Is Thomas Stockett registered with FINRA?
No. Thomas Stockett has no current broker registration.
How can I verify Thomas Stockett’s record?
Search CRD 5863333 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Stockett’s full registration record.
