Thomas J. Imhof

CAPITAL GUARD INVESTMENTS LLC

Agoura Hills, CA 91301

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CRD#: 2649263

Professional summary

Thomas James Imhof, CFP® is a registered financial advisor currently at CAPITAL GUARD INVESTMENTS LLC located in Agoura Hills, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Thomas has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 52, Series 10 and Series 9 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.

Thomas Imhof is has had his CA insurance license since 1998, license #0C31335. He operates his insurance business as a sole proprietor from 5470 Luis Drive, Agoura Hills, CA. Thomas Imhof spends approximately 10-15 hours per month devoted to continuing education, investigating insurance needs for clients and the cost to provide for those needs. His insurance business operates outside of Capital Guard Investments and security trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Imhof's 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: 2008

Experience

Current

December 19, 2023 - Present

CAPITAL GUARD INVESTMENTS LLC

Office #1: 5470 Luis Dr., Agoura Hills, CA 91301

RIA

CRD#: 329362

Agoura Hills, CA

Past

March 8, 2012 - December 11, 2023

R SQUARED FINANCIAL, LLC

RIA

CRD#: 157710

Agoura Hills, CA

Past

September 5, 2007 - March 14, 2012

MOSS ADAMS SECURITIES & INSURANCE LLC

CRD#: 114950

LOS ANGELES, CA

Past

August 21, 2007 - March 14, 2012

MOSS ADAMS WEALTH ADVISORS LLC

RIA

CRD#: 108917

LOS ANGELES, CA

Past

September 18, 1998 - February 22, 2006

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WOODLAND HILLS, CA

Past

February 19, 1998 - February 22, 2006

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

November 1, 1995 - February 12, 1998

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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
(12/19/2023)

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: 7/29/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/10/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/12/1996

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 10/3/1995

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/16/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/26/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

CAPITAL GUARD INVESTMENTS LLC

CRD#: 329362 / SEC#:

California

Registered Investment Advisory firm - (12/19/2023 Approved)

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Contact information

Main Address

Agoura Hills, CA

Mailing Address

Phone number

(818) 309-7460

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 17,593,822

Red Flags

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

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Firm Stability Insights

Thomas J. Imhof

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Imhof's CRS (Customer Relationship Summary).

Certified licenses

Experience

R SQUARED FINANCIAL, LLC

MOSS ADAMS SECURITIES & INSURANCE LLC

MOSS ADAMS WEALTH ADVISORS LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

AMERIPRISE ADVISOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/1998

Series 63

Date: 10/10/1995

Series 7

Date: 1/12/1996

Series 52

Date: 10/3/1995

Series 10

Date: 3/16/2001

Series 9

Date: 2/26/2001

Current Firm

CAPITAL GUARD INVESTMENTS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPITAL GUARD INVESTMENTS LLC

TRUST BUT VERIFY

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