Tom Cavaliere: $300K Complaint Against Tall Oaks Advisor

Overland Park, Kansas financial advisor Tom Cavaliere (CRD# 4435562) recently received an investor complaint alleging that his conduct resulted in six-figure losses. Financial Industry Regulatory Authority records show that he is registered as a broker with LPL Financial and an investment advisor with IHT Wealth Management, doing business as Tall Oaks Advisors.

Mr. Cavaliere’s BrokerCheck report discloses one investor complaint. Filed in January 2024, it alleges that as a representative of LPL Financial, he recommended unsuitable real estate investments between 2013 and 2018. The pending complaint alleges damages of $300,000.

Tall Oaks Advisors’ website includes a profile of Mr. Cavaliere that describes him as the firm’s founder. “While still in high school, Tom turned one of his passions into a business by opening a sports collectible store. Tom owned and ran this for 13 years and became a founding member of Ebay Power Sellers,” it states. “In 2001, Tom decided to pursue one of his other passions and changed career paths to become a financial advisor with Ameriprise Financial. Since 2001, he has been helping his clients pursue their financial goals and dreams.”

Other current or former LPL Financial advisors to receive investor complaints include Matt Engelau, Ian Geeves, Bill Westcott, John Demertzis, Barry Buchholz, and Brian Bates.

According to the Financial Industry Regulatory Authority, Tom Cavaliere holds 22 years of securities industry experience. Based in Overland Park, Kansas, he has been a broker with LPL Financial since 2012 and an investment advisor with IHT Wealth Management since 2017, doing business as Tall Oaks Advisors. His past registrations include NVision Wealth Group (Overland Park, Kansas; 2014-2017), Private Advisor Group (Overland Park, Kansas; 2012-2014), Ameriprise Financial Services (Leawood, Kansas; 2001-2012), and IDS Life Insurance Company (Minneapolis, Minnesota; 2001-2006). His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, California, Colorado, Florida, Kansas, Louisiana, Massachusetts, Missouri, Pennsylvania, Texas, and Virginia. (Information current as of February 18, 2024.)

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