TP
Thomas M. Pappenfus
LANDAAS & COMPANY
Milwaukee, WI 53202
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CRD#: 5053387
TP
Professional summary
Thomas Michael Pappenfus is a registered financial advisor currently at LANDAAS & COMPANY located in Milwaukee, Wisconsin.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Thomas has worked at 5 firms and has passed the Series 66, SIE and Series 7 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.
Mr. Pappenfus is a licensed insurance agent in the state of Wisconsin. Mr. Pappenfus services insurance and annuity contracts for clients of Landaas & Company, LLC as part of normal duties with Landaas & Company and does not service clients that are not clients of Landaas & Company. Mr. Pappenfus does not conduct insurance activities of Landaas & Company's normal business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Michael Pappenfus's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Michael Pappenfus'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®
NoneExperience
Current
April 29, 2013 - Present
LANDAAS & COMPANY
Office #1: 411 E Wisconsin Ave 20th Floor, Milwaukee, WI 53202RIA
BD
CRD#: 47487
Milwaukee, WI
Current
March 15, 2013 - Present
LANDAAS & COMPANY
Office #1: 411 E Wisconsin Ave 20th Floor, Milwaukee, WI 53202RIA
BD
CRD#: 47487
Milwaukee, WI
Past
April 2, 2009 - April 30, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
GRAFTON, WI
Past
November 16, 2007 - January 7, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
BROOKFIELD, WI
Past
November 16, 2007 - January 7, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
BROOKFIELD, WI
Past
September 11, 2007 - October 23, 2007
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
WAUWATOSA, WI
Past
September 11, 2007 - October 23, 2007
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
WAUWATOSA, WI
Past
February 3, 2006 - March 28, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BROOKFIELD, WI
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".
L&
LANDAAS & COMPANY
LANDAAS | LANDAAS & COMPANY, LLC | LANDAAS & COMPANY
CRD#: 47487 / SEC#: 801-45055, 8-51826
RIA
Registered Investment Advisory firm - SEC (10/25/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/25/2017)
RR
California(7/11/2017)
RR
Colorado(10/27/2017)
RR
Connecticut(10/27/2017)
RR
Florida(10/25/2017)
RR
Georgia(12/1/2017)
RR
Illinois(10/27/2017)
RR
Indiana(12/1/2017)
RR
Iowa(6/13/2019)
RR
Kentucky(5/20/2019)
RR
Maryland(5/23/2022)
RR
Massachusetts(1/19/2018)
RR
Michigan(12/1/2017)
RR
Minnesota(10/27/2017)
RR
Missouri(10/17/2017)
RR
Nevada(4/12/2023)
RR
New Jersey(10/27/2017)
RR
New Mexico(11/17/2020)
RR
New York(12/1/2017)
RR
North Carolina(10/27/2017)
RR
Ohio(3/28/2017)
RR
Oregon(1/19/2018)
RR
South Carolina(9/23/2015)
RR
Tennessee(10/27/2017)
RR
Texas(9/12/2017)
IAR
Texas(2/2/2022)
RR
Utah(1/19/2021)
RR
Virginia(4/12/2023)
RR
Washington(1/19/2018)
RR
Wisconsin(4/29/2013)
IAR
Wisconsin(4/29/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
L&
LANDAAS & COMPANY
LANDAAS | LANDAAS & COMPANY, LLC | LANDAAS & COMPANY
CRD#: 47487 / SEC#: 801-45055, 8-51826
RIA
Registered Investment Advisory firm - SEC (10/25/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
411 E. Wisconsin Ave 20th Floor, Milwaukee, WI 53202
Mailing Address
411 E. Wisconsin Ave, Milwaukee, WI 53202
Phone number
(414) 223-1099
Established
Wisconsin since 07/20/1989
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
25
SEC notice filing (23 States and Territories)
FINRA licenses (47 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 4,030 |
| AUM (Assets Under Management) | $ 1,724,224,069 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 11/22/2024 | ||
| 10/25/2023 |
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.
Company Information
LANDAAS & COMPANY
CRD#: 47487Milwaukee, WI 53202TRUST BUT VERIFY
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