DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Thomas Jon Halstenson
Feed of 09/14/2026
Also filed as Thomas Jon Halstenson
At current firm
8 y
since Nov 29, 2017
In the industry
36 y
since Jan 31, 1990 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Nov 29, 2017 · Fargo, Nd
- Ica Group Wealth Management, LLC formerDec 13, 2021 to Jun 27, 2023 · Fargo, Nd
- Investment Centers Of America, Inc. formerDec 7, 2015 to Nov 29, 2017 · Fargo, Nd
- Securities America Advisors, Inc. formerFeb 22, 2012 to Dec 1, 2015 · Fargo, Nd
- Investment Centers Of America, Inc. formerApr 14, 2004 to Feb 22, 2012 · Fargo, Nd
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJan 11, 2000 to Mar 23, 2004 · Fargo, Nd
Moves
a registration end followed by a registration begin elsewhere
- Ica Group Wealth Management, LLC to no registered destinationleft Jun 27, 2023 · Departure, no registered destination
- Investment Centers Of America, Inc. to LPL Financial LLCleft Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
- Securities America Advisors, Inc. to Investment Centers Of America, Inc.left Dec 1, 2015, registered Dec 7, 2015 (6 days) · Other · moved with a team
- Investment Centers Of America, Inc. to Securities America Advisors, Inc.left Feb 22, 2012, registered Feb 22, 2012 (0 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Investment Centers Of America, Inc.left Mar 23, 2004, registered Apr 14, 2004 (22 days) · Other
Signals
- Thomas Jon Halstenson no longer registered at Ica Group Wealth Management, Llc; no later IA registration on IAPDJun 27, 2023 · Advisor departure · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address