Thomas J. Pohlen

WEALTH MANAGEMENT

Brea, CA

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CRD#: 6906271

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Pohlen | Tom Joseph Pohlen

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.

Retirement Plan Consultants - not investment related - 125 S. 4th St Norfolk, NE 68701 - Back office operational solution for Qualified Retirement Plans - Regional Director - 3/2019 - sales - approx 160 hours monthly/ approx 80 hours monthly during security trading hours Absolute Commercial Cleaning - not investment related - Brea, CA - Co-owner - not investment related - 0 hours approx monthly/0 hours during security trading hours - passive owner.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Pohlen'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

June 18, 2021 - Present

WEALTH MANAGEMENT

RIA

CRD#: 137080

Brea, CA

Past

September 10, 2020 - June 21, 2021

MCMILL CPA AND ADVISORS

RIA

CRD#: 129015

Brea, CA

Past

March 14, 2018 - March 4, 2019

INDEX FUND ADVISORS, INC.

RIA

CRD#: 109143

IRVINE, CA

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".

WEALTH MANAGEMENT

WEALTH FIRM | WEALTH MANAGEMENT NEBRASKA LLC | WEALTH MANAGEMENT LLC | WEALTH MANAGEMENT

CRD#: 137080 / SEC#: 801-65977

RIA

Registered Investment Advisory firm - (2/17/2006 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

California
(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

State Security Law Exam

IAR

Series 65

Date: 3/14/2018

Uniform Investment Adviser Law Examination

Current Firm

WEALTH MANAGEMENT

WEALTH FIRM | WEALTH MANAGEMENT NEBRASKA LLC | WEALTH MANAGEMENT LLC | WEALTH MANAGEMENT

CRD#: 137080 / SEC#: 801-65977

RIA

Registered Investment Advisory firm - (2/17/2006 Approved)

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Contact information

Main Address

125 South 4th Street, Norfolk, NE 68701

Mailing Address

Po Box 1264, Norfolk, NE 68702-1264

Phone number

(402) 371-1160

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTH MANAGEMENT ADV PART 2A (4/29/2025)

Regulatory assets under management

Total Number of Accounts	3,617
AUM (Assets Under Management)	$ 3,100,744,962

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. Pohlen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

WEALTH MANAGEMENT

MCMILL CPA AND ADVISORS

INDEX FUND ADVISORS, INC.

Primary Firm SEC Registration

WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 3/14/2018

Current Firm

WEALTH MANAGEMENT

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTH MANAGEMENT

TRUST BUT VERIFY

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