Thomas J. Ponce

KRILOGY

ST. LOUIS, MO 63141

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CRD#: 6538763

Professional summary

Thomas Joseph Ponce, who also goes by Thomas J. Ponce, is a registered financial advisor currently at KRILOGY located in St. Louis, Missouri.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Thomas has worked at 4 firms and has passed the Series 65 exam.

At a Glance

Always Fiduciary

Aliases

Thomas J. Ponce

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.

1) Krilogy Advisors; START DATE:09/2026 - INVESTMENT RELATED - INDEPENDENT INSURANCE AGENT; DUTIES INCLUDE PROVIDING INSURANCE AND ANNUITY SOLUTIONS,REVIEWING PLANS WITH CLIENTS,

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Ponce'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 15, 2026 - Present

KRILOGY

Office #1: 275 N. Lindbergh Ste. 20, St. Louis, MO 63141

RIA

CRD#: 149046

ST. LOUIS, MO

Past

September 19, 2025 - September 11, 2026

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA

CRD#: 175083

ST. LOUIS, MO

Past

January 31, 2022 - October 1, 2025

PROSPERITY CAPITAL ADVISORS

RIA

CRD#: 156480

ST. LOUIS, MO

Past

January 29, 2022 - January 31, 2022

SLAGLE FINANCIAL, LLC.

RIA

CRD#: 149976

EDWARDSVILLE, IL

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".

KRILOGY

CRD#: 149046 / SEC#: 801-69838

RIA

Registered Investment Advisory firm - (1/12/2009 Approved)

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

Missouri
(9/15/2026)

IAR

Texas
(9/15/2026)

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

What does exam status mean?

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 1/29/2022

Uniform Investment Adviser Law Examination

Current Firm

KRILOGY

CRD#: 149046 / SEC#: 801-69838

RIA

Registered Investment Advisory firm - (1/12/2009 Approved)

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Contact information

Main Address

275 N. Lindbergh Ste. 20, St. Louis, MO 63141

Mailing Address

Phone number

(314) 884-2800

Established

Firm type

Fiscal year end

# of Employees

103

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (3/31/2026)

KRILOGY FINANCIAL, LLC CLIENT BROCHURE (3/31/2026)

Regulatory assets under management

Total Number of Accounts	11,114
AUM (Assets Under Management)	$ 5,195,636,468

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/11/2026	Cover Page	Report
11/13/2025	Cover Page	Report
02/27/2025	Cover Page	Report
10/12/2023	Cover Page	Report

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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Thomas J. Ponce

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Ponce's CRS (Customer Relationship Summary).

Certified licenses

Experience

KRILOGY

FOUNDATIONS INVESTMENT ADVISORS LLC

PROSPERITY CAPITAL ADVISORS

SLAGLE FINANCIAL, LLC.

Primary Firm SEC Registration

KRILOGY

State Registrations and Notice Filings

Exams

Series 65

Passed: 1/29/2022

Current Firm

KRILOGY

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KRILOGY

TRUST BUT VERIFY

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