Thomas J. Pflanz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Joseph Pflanz, who also goes by Tom Pflanz, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2012 - December 31, 2016
WEALTH ADVISORS OF IOWA, LLC
July 15, 2009 - December 31, 2011
SECURIAN FINANCIAL SERVICES, INC.
June 29, 2009 - December 31, 2011
SECURIAN FINANCIAL SERVICES, INC.
January 30, 2008 - November 30, 2009
WEALTH ADVISORS OF IOWA, LLC
June 18, 2007 - November 29, 2007
GENEOS WEALTH MANAGEMENT, INC.
June 9, 2004 - January 21, 2005
WEALTH ADVISORS OF IOWA, LLC
January 1, 2004 - November 1, 2006
SECURITIES AMERICA, INC.
Primary Firm SEC Registration
WEALTH ADVISORS OF IOWA, LLC
CRD#: 115088 / SEC#: 801-118210
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEALTH ADVISORS OF IOWA, LLC
CRD#: 115088 / SEC#: 801-118210
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,203 |
| AUM (Assets Under Management) | $ 453,096,614 |
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.
