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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

THOMAS F. WOZNIAK

Advisor at BELPOINTE ASSET MANAGEMENT LLC

RENO, NV | Milwaukee, WI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:765a4f25-c015-2e73-bbd7-5a08def8cf36

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Sep 3, 2008 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BELPOINTE ASSET MANAGEMENT LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 20, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Apr 20, 2004
First registration: Sep 3, 2008
Dual registered: yes, broker-dealer
Other names: THOMAS WOZNIAK
IAPD individual key: 4775595

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BELPOINTE ASSET MANAGEMENT LLC	Independent wealth	Sep 22, 2022	n/a	yes	Milwaukee, WI\|RENO, NV	Current employment
FREEDOM WEALTH ALLIANCE	Former SEC adviser	Feb 24, 2022	Sep 30, 2022	no	BROOKFIELD, WI	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Jan 19, 2018	Feb 24, 2022	no	MILWAUKEE, WI\|BROOKFIELD, WI\|Brookfield, WI\|MILWAUKEE, WI	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	Jan 23, 2018	no	BROOKFIELD, WI	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 2, 2015	Mar 25, 2017	no	BROOKFIELD, WI\|Milwaukee, WI	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Sep 3, 2008	Jan 2, 2015	no	BROOKFIELD, WI\|WAUKESHA, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FREEDOM WEALTH ALLIANCE	BELPOINTE ASSET MANAGEMENT LLC	Sep 30, 2022	Sep 22, 2022	-8	Firm change	RIA to RIA
SAGEPOINT FINANCIAL, INC.	FREEDOM WEALTH ALLIANCE	Feb 24, 2022	Feb 24, 2022	0	Firm change	Ibd to RIA
MML INVESTORS SERVICES, LLC	SAGEPOINT FINANCIAL, INC.	Jan 23, 2018	Jan 19, 2018	-4	Firm change	Other
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
NEW ENGLAND SECURITIES CORPORATION	MSI FINANCIAL SERVICES, INC.	Jan 2, 2015	Jan 2, 2015	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
170456:143440:WI:2022-09-30	Sep 30, 2022	Sep 22, 2022	BROOKFIELD, WI	Firm change
133763:170456:WI:2022-02-24	Feb 24, 2022	Feb 24, 2022	MILWAUKEE, WI	Firm change
10409:133763:WI:2018-01-19	Jan 23, 2018	Jan 19, 2018	BROOKFIELD, WI	Firm change

Relationships

Registered with (6)

→ BELPOINTE ASSET MANAGEMENT LLCRegistered adviserregistration: current employment
Sep 22, 2022 to presentfactForm ADV
→ FREEDOM WEALTH ALLIANCERegistered adviserregistration: previous registration
Feb 24, 2022 to Sep 30, 2022factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Jan 19, 2018 to Feb 24, 2022factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 25, 2017 to Jan 23, 2018factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 2, 2015 to Mar 25, 2017factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Sep 3, 2008 to Jan 2, 2015factForm ADV

Dated events

Occurred
Sep 30, 2022
Advisor changed firm
Thomas F. Wozniak left Freedom Wealth Alliance for Belpointe Asset Management Llc (registered 2022-09-22)
Form ADVobserved 5 days ago
Occurred
Feb 24, 2022
Advisor changed firm
Thomas F. Wozniak left Sagepoint Financial, Inc. for Freedom Wealth Alliance (registered 2022-02-24)
Form ADVobserved 5 days ago