Thomas Joseph Pohlen
Professional Summary
Thomas Joseph Pohlen, who also goes by Thomas Pohlen, Tom Joseph Pohlen, is a registered financial advisor currently at WEALTH MANAGEMENT located in Brea, California. Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Thomas has worked at 3 firms and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Pohlen, Tom Joseph Pohlen
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
8 years in the financial services industry
Current & Past Employments
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Current Firm
WEALTH FIRM | WEALTH MANAGEMENT NEBRASKA LLC | WEALTH MANAGEMENT LLC | WEALTH MANAGEMENT
Contact Information
Main Address
125 South 4th Street, Norfolk, NE 68701Mailing Address
Po Box 1264, Norfolk, NE 68702-1264Phone Number
(402) 371-1160# of Employees
61SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
4,751AUM (Assets Under Management)
$3,708,706,532Similar Advisors
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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.
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Primary Firm SEC Registration
WEALTH FIRM | WEALTH MANAGEMENT NEBRASKA LLC | WEALTH MANAGEMENT LLC | WEALTH MANAGEMENT
State Registrations and Notice Filings
(6/18/2021)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Pohlen's CRS (Customer Relationship Summary).
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