Thomas R. Poehling
Professional summary
Thomas Ronald Poehling, who also goes by Tom Poehling, is a registered financial advisor currently at POEHLING CAPITAL MANAGEMENT, INC. located in Madison, Wisconsin.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Thomas has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Ronald Poehling's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 11, 2004 - Present
POEHLING CAPITAL MANAGEMENT, INC.
Office #1: 525 Junction Road Suite 8700, Madison, WI 53717October 9, 2002 - July 9, 2004
MIDWEST PROFESSIONAL PLANNERS, LTD.
June 22, 1990 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 22, 1990 - July 8, 2004
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
POEHLING CAPITAL MANAGEMENT, INC.
CRD#: 131668 / SEC#: 801-63189
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/11/2004)
Exams
Current Firm
POEHLING CAPITAL MANAGEMENT, INC.
CRD#: 131668 / SEC#: 801-63189
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,433 |
| AUM (Assets Under Management) | $ 489,280,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/20/2024 | ||
| 02/28/2023 |
Red Flags
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