Anthony D. Pondel

NORTHROCK PARTNERS

Wapakoneta, OH

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CRD#: 2267949

Professional summary

Anthony David Pondel, CFP®, who also goes by Tony Pondel, is a registered financial advisor currently at NORTHROCK PARTNERS, LLC located in Wapakoneta, Ohio.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Anthony has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony Pondel

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.

1) 8/22/2018 - No Business Name - Not Investment Related - 20120 Wapak Cridersville Roar Wapakoneta, Ohio - Other-Farm - Started 04/30/2018 - .5 Hours Per Month/0.00 Hours During Trading - Own a farm in Ohio which produces crop rent and tree sales. 2) 10/11/2021 - LTCI - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 02/01/2021 - 1 Hour Per Month/1 Hour During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony David Pondel'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®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Current

February 28, 2025 - Present

NORTHROCK PARTNERS, LLC

Office #2: 5250 Old Orchard Road, Skokie, IL 60077

RIA

CRD#: 167908

Wapakoneta, OH

Past

January 14, 2019 - October 6, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

SKOKIE, IL

Past

February 25, 2014 - March 3, 2025

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

Skokie, IL

Past

April 29, 2003 - April 21, 2025

TONY PONDEL, CERTIFIED FINANCIAL PLANNER, P.C.

RIA

CRD#: 125673

SKOKIE, IL

Past

June 6, 2001 - October 28, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

SKOKIE, IL

Past

May 25, 2001 - March 12, 2025

LPL FINANCIAL LLC

CRD#: 6413

SKOKIE, IL

Past

September 15, 1997 - May 25, 2001

DREHER & ASSOCIATES, INC.

CRD#: 8665

OAKBROOK TERRACE, IL

Past

August 26, 1992 - September 23, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 26, 1992 - September 23, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

NORTHROCK PARTNERS, LLC

3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT

CRD#: 167908 / SEC#: 801-78194

RIA

Registered Investment Advisory firm - (6/13/2013 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
(2/28/2025)

IAR

Illinois
(3/4/2025)

IAR

Ohio
(2/28/2025)

IAR

Texas
(2/28/2025)

IAR

Wisconsin
(2/28/2025)

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

Series 63

Date: 11/9/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/25/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/12/2001

General Securities Principal Examination

Current Firm

NORTHROCK PARTNERS, LLC

3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT

CRD#: 167908 / SEC#: 801-78194

RIA

Registered Investment Advisory firm - (6/13/2013 Approved)

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Contact information

Main Address

225 South Sixth Street Suite 1400, Minneapolis, MN 55402

Mailing Address

Phone number

(612) 367-8800

Established

Firm type

Fiscal year end

# of Employees

161

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHROCK PARTNERS ADV 2A BROCHURE (7/10/2025)

NORTHROCK PARTNERS WRAP BROCHURE MARCH 2024 (2/26/2025)

Regulatory assets under management

Total Number of Accounts	12,834
AUM (Assets Under Management)	$ 6,596,242,797

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
11/05/2024	Cover Page	Report
01/29/2024	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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Anthony D. Pondel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony David Pondel's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

PRIVATE ADVISOR GROUP, LLC

TONY PONDEL, CERTIFIED FINANCIAL PLANNER, P.C.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

DREHER & ASSOCIATES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

NORTHROCK PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/1992

SIE

Date: 10/1/2018

Series 7

Date: 8/25/1992

Series 24

Date: 7/12/2001

Current Firm

NORTHROCK PARTNERS, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NORTHROCK PARTNERS, LLC

TRUST BUT VERIFY

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