Thomas P. Rohan

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CRD#: 4300217

Professional summary

Thomas Patrick Rohan was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas Patrick Rohan, who also goes by Thomas P Rohan, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas P Rohan

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 5, 2019 - March 24, 2020

WOODSTOCK WEALTH MANAGEMENT, INC.

RIA

CRD#: 283472

North East, PA

Past

March 1, 2019 - December 12, 2019

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

North East, PA

Past

May 2, 2016 - August 2, 2016

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

ERIE, PA

Past

May 2, 2016 - March 15, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

ERIE, PA

Past

February 7, 2013 - March 2, 2016

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

ERIE, PA

Past

February 4, 2013 - March 2, 2016

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

ERIE, PA

Past

March 11, 2011 - October 31, 2011

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

NORTH EAST, PA

Past

March 11, 2011 - October 31, 2011

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

MEMPHIS, TN

Past

June 15, 2010 - August 30, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ERIE, PA

Past

December 17, 2008 - August 30, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ERIE, PA

Past

November 22, 2005 - December 19, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ERIE, PA

Past

November 21, 2005 - December 19, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ERIE, PA

Past

December 3, 2003 - August 12, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 13, 2001 - June 19, 2003

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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".

WOODSTOCK WEALTH MANAGEMENT, INC.

CRD#: 283472 / SEC#: 801-112663

RIA

Registered Investment Advisory firm - (3/30/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 10/16/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/12/2001

General Securities Representative Examination

Current Firm

WOODSTOCK WEALTH MANAGEMENT, INC.

CRD#: 283472 / SEC#: 801-112663

RIA

Registered Investment Advisory firm - (3/30/2018 Approved)

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Contact information

Main Address

250 River Park North Drive, Woodstock, GA 30188

Mailing Address

Phone number

(800) 279-4468

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - MARCH 29 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,834
AUM (Assets Under Management)	$ 629,939,767

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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Advisor Monitoring

Firm Stability Insights

Thomas P. Rohan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WOODSTOCK FINANCIAL GROUP, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL ADVISORS, LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

UBS FINANCIAL SERVICES INC.

WADDELL & REED

Primary Firm SEC Registration

WOODSTOCK WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/16/2001

SIE

Date: 3/15/2018

Series 7

Date: 6/12/2001

Current Firm

WOODSTOCK WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WOODSTOCK WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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