Thomas S. Sponholtz

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CRD#: 2003702

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Sutter Sponholtz, who also goes by Thomas Sponholtz, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Sponholtz

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 16, 2009 - December 31, 2025

UNISON INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 150893

SAN FRANCISCO, CA

Past

January 19, 2001 - October 1, 2004

BLACKROCK EXECUTION SERVICES

CRD#: 39438

NEW YORK, NY

Past

April 19, 1998 - July 7, 1999

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

BALA CYNWYD, PA

Past

June 13, 1995 - October 24, 1997

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

DALLAS, TX

Past

March 2, 1993 - May 5, 1995

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

November 11, 1992 - February 19, 1993

MMAR GROUP, INC.

CRD#: 25329

HOUSTON, TX

Past

September 28, 1990 - December 11, 1991

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

April 24, 1990 - September 27, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

UNISON INVESTMENT MANAGEMENT, LLC

CRD#: 150893 / SEC#: 801-109979

RIA

Registered Investment Advisory firm - (2/10/2017 Approved)

California

Registered Investment Advisory firm - (4/19/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/11/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/14/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/21/1990

General Securities Representative Examination

Current Firm

UNISON INVESTMENT MANAGEMENT, LLC

CRD#: 150893 / SEC#: 801-109979

RIA

Registered Investment Advisory firm - (2/10/2017 Approved)

California

Registered Investment Advisory firm - (4/19/2017 Terminated)

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Contact information

Main Address

4 Embarcadero Center Suite 710, San Francisco, CA 94111

Mailing Address

Phone number

(415) 992-4200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

UNISON IM FORM ADV PART 2A MARCH 2025 (6/23/2025)

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 1,685,557,326

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

Thomas S. Sponholtz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BLACKROCK EXECUTION SERVICES

SUSQUEHANNA FINANCIAL GROUP, LLLP

FIRST SOUTHWEST COMPANY, LLC

ALEX. BROWN & SONS INCORPORATED

MMAR GROUP, INC.

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

UNISON INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/2009

Series 63

Date: 6/14/1990

Series 7

Date: 4/21/1990

Current Firm

UNISON INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UNISON INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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