AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TS

Troy A. Sommerfeld

KOM WEALTH MANAGEMENT GROUP
Appleton, WI 54913
Some features on this profile are disabled
CRD#: 7168165
TS

Professional summary

Troy Allen Sommerfeld is a registered financial advisor currently at KOM WEALTH MANAGEMENT GROUP, LLC located in Appleton, Wisconsin.

Troy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Troy has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

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.
Independent Insurance Agent for Various Independent Insurance Companies.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Troy Allen Sommerfeld'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

October 1, 2021 - Present

KOM WEALTH MANAGEMENT GROUP, LLC

Office #1: 3601 E. Evergreen Drive Suite 100, Appleton, WI 54913
RIA
CRD#: 142682
Appleton, WI
Past

December 18, 2019 - September 9, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
APPLETON, WI
Past

November 1, 2019 - September 9, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
APPLETON, 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".
KW
KOM WEALTH MANAGEMENT GROUP, LLC
KERNTKE OTTO MCGLONE WEALTH MANAGEMENT GROUP | SPRING ADVISORS, LLC | KOM WEALTH MANAGEMENT GROUP, LLC

CRD#: 142682 / SEC#: 801-67464

RIA
Registered Investment Advisory firm - (1/19/2007 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
Wisconsin
(10/1/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/2/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/16/2019
Securities Industry Essentials Examination

Current Firm

KW
KOM WEALTH MANAGEMENT GROUP, LLC
KERNTKE OTTO MCGLONE WEALTH MANAGEMENT GROUP | SPRING ADVISORS, LLC | KOM WEALTH MANAGEMENT GROUP, LLC

CRD#: 142682 / SEC#: 801-67464

RIA
Registered Investment Advisory firm - (1/19/2007 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
3601 E. Evergreen Drive Suite 100, Appleton, WI 54913
Mailing Address
Phone number
(920) 733-3865
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2 (8/24/2025)

Regulatory assets under management

Total Number of Accounts2,279
AUM (Assets Under Management)$ 385,046,776

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

KOM WEALTH MANAGEMENT GROUP, LLC

CRD#: 142682Appleton, WI 54913

TRUST BUT VERIFY

Monitor Troy Sommerfeld

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Vincent Charles Renaut
Vincent RenautAdvisorCheck Check Mark
PIER 42 ADVISORS
IAR
Plymouth, MA
SM
Susanna MarkariAdvisorCheck Check Mark
FARMERS FINANCIAL SOLUTIONS, LLC
RR
LA CANADA FLINTRIDGE, CA
JB
John BullittAdvisorCheck Check Mark
VALIDUS CAPITAL LLC
IAR
El Segundo, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics