Todd C. Pniewski

TBMS WEALTH LLC

Plano, TX

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CRD#: 2932921

Professional summary

Todd Charles Pniewski, CFP® is a registered financial advisor currently at TBMS WEALTH LLC located in Plano, Texas.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Todd has worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 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.

Elements Wealth, LLC; Investment-Related; Plano, Texas; Investment Adviser; Investment Adviser Representative; May 2019; Approx. 150 hours/month; Approx. 150 hours/month during trading hours; Provide investment advice and/or financial planning.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Charles Pniewski'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^®

CRD#: 10409

DALLAS, TX

Past

February 14, 2011 - July 17, 2015

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

December 10, 2010 - July 22, 2015

WELLESLEY ASSET MANAGEMENT, INC.

RIA

CRD#: 116176

PORTSMOUTH, NH

Past

August 8, 2006 - November 12, 2009

CRD#: 10409

SPRINGFIELD, MA

Past

August 6, 2004 - December 31, 2005

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

DALLAS, TX

Past

September 30, 1997 - January 6, 1998

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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

Texas
(5/31/2019)

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: 8/12/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/9/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 2/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/10/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/20/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TBMS WEALTH LLC

ELEMENTS WEALTH LLC | TBMS WEALTH LLC

CRD#: 304191 / SEC#:

Louisiana

Registered Investment Advisory firm - (12/4/2024 Terminated)

Texas

Registered Investment Advisory firm - (5/31/2019 Approved)

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).

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Contact information

Main Address

Plano, TX

Mailing Address

Phone number

(972) 737-1440

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	38
AUM (Assets Under Management)	$ 8,289,429

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

Todd C. Pniewski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Charles Pniewski's CRS (Customer Relationship Summary).

Certified licenses

Experience

ORIGIN INVESTMENT ADVISORY LLC

TH WEALTH MANAGEMENT LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

WELLESLEY ASSET MANAGEMENT, INC.

FORESIDE FUND SERVICES, LLC

PNIEWSKI, TODD CHARLES

HFG ADVISORS, L.L.C.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

FIDELITY DISTRIBUTORS COMPANY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/12/2004

Series 65

Date: 8/9/2002

SIE

Date: 2/1/2016

Series 7

Date: 8/10/2004

Series 6

Date: 8/20/1997

Current Firm

TBMS WEALTH LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TBMS WEALTH LLC

TRUST BUT VERIFY

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