Joshua M. Pohl

HOBART WEALTH

Charlotte, NC 28277

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CRD#: 6518626

Professional summary

Joshua Michael Pohl is a registered financial advisor currently at HOBART WEALTH located in Charlotte, North Carolina.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Joshua has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Michael Pohl's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 5, 2025 - Present

HOBART WEALTH

Office #1: 7733 Ballantyne Commons Parkway Suite 101, Charlotte, NC 28277

RIA

CRD#: 168494

Charlotte, NC

Past

December 24, 2024 - August 27, 2025

EP WEALTH ADVISORS

RIA

CRD#: 111147

IRVINE, CA

Past

June 2, 2022 - August 1, 2023

AW SECURITIES

CRD#: 103747

FOLSOM, CA

Past

August 3, 2015 - April 27, 2021

TD AMERITRADE, INC.

CRD#: 7870

Southlake, TX

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".

HOBART WEALTH

HOBART PRIVATE CAPITAL, LLC | HOBART WEALTH

CRD#: 168494 / SEC#: 801-107338

RIA

Registered Investment Advisory firm - (2/29/2016 Approved)

North Carolina

Registered Investment Advisory firm - (7/27/2016 Terminated)

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).

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

North Carolina
(9/5/2025)

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: 10/11/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/3/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/19/2018

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 12/29/2017

Financial and Operations Principal Examination

Current Firm

HOBART WEALTH

HOBART PRIVATE CAPITAL, LLC | HOBART WEALTH

CRD#: 168494 / SEC#: 801-107338

RIA

Registered Investment Advisory firm - (2/29/2016 Approved)

North Carolina

Registered Investment Advisory firm - (7/27/2016 Terminated)

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Contact information

Main Address

7733 Ballantyne Commons Parkway Suite 101, Charlotte, NC 28277

Mailing Address

Phone number

(888) 553-0122

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOBART PRIVATE CAPITAL FIRM BROCHURE (8/6/2025)

Regulatory assets under management

Total Number of Accounts	1,891
AUM (Assets Under Management)	$ 429,701,468

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

Joshua M. Pohl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Michael Pohl's CRS (Customer Relationship Summary).

Certified licenses

Experience

EP WEALTH ADVISORS

AW SECURITIES

TD AMERITRADE, INC.

Primary Firm SEC Registration

HOBART WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 10/11/2023

Series 63

Date: 8/12/2015

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/3/2015

Series 24

Date: 10/19/2018

Series 27

Date: 12/29/2017

Current Firm

HOBART WEALTH

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOBART WEALTH

TRUST BUT VERIFY

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