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Thomas Lee Staley

Investment Adviser Representative at MAIA WEALTH

Indianapolis, INCRD #5148647Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
20 yrs
States Registered
1 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Indiana
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 8/14/2009
Series 63
Uniform Securities Agent State Law Examination
Passed 7/19/2006
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 6/16/2006
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 4/11/2014
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 12/12/2013

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.015
Source

MAIA Wealth Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MAIA WEALTHCurrent
2/6/2026Indianapolis, IN
J.P. MORGAN SECURITIES LLC
1/20/20152/8/2026Westfield, IN
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC.
1/3/20122/4/2015Indianapolis, IN
CHARLES SCHWAB & CO., INC.
8/17/200912/31/2011Indianapolis, IN

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Lee Staley has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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