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Thomas H. Roehl
ROEHL & YI INVESTMENT ADVISORS
Eugene, OR 97401
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CRD#: 1056108
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Professional summary
Thomas Henry Roehl, CFP®, who also goes by Tom Roehl, is a registered financial advisor currently at ROEHL & YI INVESTMENT ADVISORS, LLC located in Eugene, Oregon.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Thomas has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Roehl
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
ROEHL & YI INVESTMENT SERVICES - NON-INVESTMENT RELATED - SAME ADDRESS - INSURANCE - PART OWNER - 1988 - 2 HRS/MO - ALL DURING TRADING - LIFE, DI AND LTC INSURANCE SALES
**14TH & PATTERSON, LLC, NOT INVESTMENT RELATED - MULTI FAMILY RENTAL PROPERTY - OWNER, PROPERTY MANAGER - 1 HR/MO, 0 HR/MO DURING TRADING, 1988.
ROEHL & YI INVESTMENT ADVISORS - INVESTMENT RELATED - SAME ADDRESS - INVESTMENT ADVISORY FIRM - PART OWNER - 1998 - 160 HRS/MO - 120 HRS/MO DURING TRADING - PROVIDE INVESTMENT ADVICE TO CLIENTS.
LANE COMMUNITY COLLEGE FOUNDATION - INVESTMENT RELATED - 4000 E 30TH AVENUE - INVESTMENT COMMITTEE - 2014 - 1 HOUR/MONTH.
REAL ESTATE HOLDINGS - NON-INVESTMENT RELATED - SAME ADDRESS - REAL ESTATE - OWNER - 1978 - 1 HR/MO - NONE DURING TRADING - HOLD RESIDENTIAL REAL ESTATE FOR INCOME AND APPRECIATION
VARIOUS INSURANCE - NON-INVESTMENT RELATED - SAME ADDRESS - INSURANCE - AGENT/CONTRACTOR - 1983 - 3 HRS/MO - NONE DURING TRADING - DISABILITY, LTC, SPDA AND OTHER INSURANCE PRODUCT SALES
ROEHL BROTHERS, LLC- INVESTMENT RELATED- PURCHASE OF RESIDENTIAL REAL ESTATE PROPERTY-1 HR/MO
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Henry Roehl's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1987
Experience
Current
July 31, 2002 - Present
ROEHL & YI INVESTMENT ADVISORS, LLC
Office #1: 450 Country Club Road Suite 200, Eugene, OR 97401RIA
CRD#: 109258
Eugene, OR
Past
March 16, 2005 - December 31, 2014
KMS FINANCIAL SERVICES, INC.
BD
CRD#: 3866
EUGENE, OR
Past
May 10, 1989 - March 11, 2005
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
May 11, 1983 - May 16, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
August 12, 1982 - May 9, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
R&
ROEHL & YI INVESTMENT ADVISORS, LLC
ROEHL & SITTNER INVESTMENT ADVISORS LLC | ROEHL & YI INVESTMENT ADVISORS, LLC
CRD#: 109258 / SEC#: 801-56145
RIA
Registered Investment Advisory firm - (1/12/1999 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Oregon(7/31/2002)
IAR
Washington(5/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
R&
ROEHL & YI INVESTMENT ADVISORS, LLC
ROEHL & SITTNER INVESTMENT ADVISORS LLC | ROEHL & YI INVESTMENT ADVISORS, LLC
CRD#: 109258 / SEC#: 801-56145
RIA
Registered Investment Advisory firm - (1/12/1999 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
450 Country Club Road Suite 200, Eugene, OR 97401
Mailing Address
P.o. Box 11810, Eugene, OR 97440
Phone number
(541) 683-2085
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,639 |
| AUM (Assets Under Management) | $ 857,825,360 |
Red Flags
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Company Information
ROEHL & YI INVESTMENT ADVISORS, LLC
CRD#: 109258Eugene, OR 97401TRUST BUT VERIFY
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