AdvisorOS Directory
Claim Profile
Unclaimed Profile
TK

Thomas Joseph Kleptz

OT FINANCIAL, LLC·TROY, Ohio
Series 6512 years registeredOT FINANCIAL, LLC
1600 W. MAIN STREET, TROY, OH 45373CRD# 6317813Firm CRD# 170738

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Thomas Joseph Kleptz · TROY, OH
Registration
CRD #6317813 · OT FINANCIAL, LLC · 12 years registered
Brand Profile
Not yet started
01

Career History

TURNSTONE FINANCIAL
Jun 2014 – present
02

Registrations & Exams

FINRA examinations passed
Series 65
Registration record
First registered · June 16, 2014
Years registered · 12
03

Disclosure History

2009Employment Separation After Allegations

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

04

Firm Overview

Firm
OT FINANCIAL, LLC
CRD 170738 · SEC 801-121769
AUM
$143M
Regulatory assets under management
Employees
2
216 client accounts
Services offered by OT FINANCIAL, LLC
Per Form ADV
Portfolio management (individuals)
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
View all advisors at OT FINANCIAL, LLC →
Introduction

Speak with Thomas

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Thomas is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in TROY?

Browse all registered financial advisors in TROY, Ohio or claim this profile if it's yours.

Browse TROY AdvisorsAre you this advisor? Claim profile
05

Frequently Asked Questions

What services does Thomas Joseph Kleptz offer?
Thomas Joseph Kleptz specializes in Investment Management. Contact their office in TROY, Ohio for a consultation.
What are Thomas Joseph Kleptz's credentials?
Thomas Joseph Kleptz is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Thomas Joseph Kleptz located?
Thomas Joseph Kleptz is based in TROY, Ohio, working with OT FINANCIAL, LLC. Their office serves clients in the TROY metropolitan area and surrounding communities.
How does Thomas Joseph Kleptz charge for services?
Thomas Joseph Kleptz's firm is compensated through percentage of aum, subscription fees, other: fee split with underlying manager. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is OT FINANCIAL, LLC?
OT FINANCIAL, LLC has approximately 2 employees and manages $143M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
Not sure what to look for in an advisor?
Try our free Advisor Match Quiz →

Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in Ohio
CINCINNATI (430)COLUMBUS (229)CLEVELAND (169)BEACHWOOD (76)DUBLIN (50)AKRON (50)DAYTON (34)INDEPENDENCE (30)WESTLAKE (28)NEW ALBANY (24)
City Guides
CINCINNATI GuideCOLUMBUS GuideCLEVELAND GuideBEACHWOOD GuideDUBLIN Guide
Research
Advisor Fees in OhioNational Fee Analysis
Request removal of this profile