Philip D. Tom

HOHIMER WEALTH MANAGEMENT

Las Vegas, NV

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CRD#: 1110768

Professional summary

Philip Duane Tom is a registered financial advisor currently at HOHIMER WEALTH MANAGEMENT, LLC located in Las Vegas, Nevada.

Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Philip has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Duane Tom's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 18, 2025 - Present

HOHIMER WEALTH MANAGEMENT, LLC

RIA

CRD#: 300140

Las Vegas, NV

Past

April 29, 2015 - July 10, 2025

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

SEATTLE, WA

Past

April 29, 2015 - July 10, 2025

RBC CAPITAL MARKETS, LLC

CRD#: 31194

SEATTLE, WA

Past

July 1, 2003 - April 30, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SEATTLE, WA

Past

July 1, 2003 - April 30, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SEATTLE, WA

Past

October 27, 1992 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

SEATTLE, WA

Past

May 14, 1988 - August 16, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 4, 1988 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 19, 1983 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

HOHIMER WEALTH MANAGEMENT, LLC

CRD#: 300140 / SEC#: 801-114746

RIA

Registered Investment Advisory firm - (2/28/2019 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

California
(7/21/2025)

IAR

Florida
(8/5/2025)

IAR

Nevada
(8/12/2025)

IAR

Oregon
(7/23/2025)

IAR

Texas
(7/18/2025)

IAR

Washington
(7/18/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/29/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/22/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/27/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

Current Firm

HOHIMER WEALTH MANAGEMENT, LLC

CRD#: 300140 / SEC#: 801-114746

RIA

Registered Investment Advisory firm - (2/28/2019 Approved)

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Contact information

Main Address

One Union Square 600 University Street, Suite 2401, Seattle, WA 98101

Mailing Address

Phone number

(206) 709-5955

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOHIMER WEALTH MANAGEMENT FORM ADV 2A BROCHURE (3/31/2025)

HOHIMER WEALTH MANAGEMENT WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,229
AUM (Assets Under Management)	$ 993,696,676

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/17/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Philip D. Tom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Duane Tom's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

HOHIMER WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/29/1992

Series 63

Date: 4/22/1983

SIE

Date: 10/1/2018

Series 3

Date: 5/27/1983

Series 7

Date: 4/16/1983

Current Firm

HOHIMER WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HOHIMER WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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