Thomas F. Pflug

PFLUG KOORY

OMAHA, NE 68137

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CRD#: 2148752

Professional summary

Thomas Frederick Pflug is a registered financial advisor currently at PFLUG KOORY, LLC located in Omaha, Nebraska.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Thomas has worked at 2 firms and has passed the Series 63 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 Thomas Frederick Pflug'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

June 3, 1994 - Present

PFLUG KOORY, LLC

Office #1: 11312 'q' Street, Omaha, NE 68137

RIA

CRD#: 109268

OMAHA, NE

Past

June 10, 1991 - June 10, 1992

WEITZ SECURITIES, INC.

CRD#: 17673

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".

PFLUG KOORY, LLC

PFLUG KOORY, LLC | PRFLUG KOORY, LLC

CRD#: 109268 / SEC#: 801-57982

RIA

Registered Investment Advisory firm - (9/26/2000 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

Nebraska
(6/3/1994)

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

Series 63

Date: 6/5/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/30/1991

General Securities Representative Examination

Current Firm

PFLUG KOORY, LLC

PFLUG KOORY, LLC | PRFLUG KOORY, LLC

CRD#: 109268 / SEC#: 801-57982

RIA

Registered Investment Advisory firm - (9/26/2000 Approved)

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Contact information

Main Address

11312 'q' Street, Omaha, NE 68137

Mailing Address

Phone number

(402) 691-0988

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (1/27/2025)

Regulatory assets under management

Total Number of Accounts	119
AUM (Assets Under Management)	$ 312,550,225

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.

Contact information

xxxxx@xxxx.xxx

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Thomas F. Pflug

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Frederick Pflug's CRS (Customer Relationship Summary).

Certified licenses

Experience

PFLUG KOORY, LLC

WEITZ SECURITIES, INC.

Primary Firm SEC Registration

PFLUG KOORY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/5/1991

Series 7

Date: 5/30/1991

Current Firm

PFLUG KOORY, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PFLUG KOORY, LLC

TRUST BUT VERIFY

Contact information

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