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Member Manager & Chief Compliance Officer · Pflug Koory, LLC

Thomas F. Pflug

CRD 2148752 · Named on Form ADV at one SEC-registered adviser

At a glance

Pflug Koory, LLC, an SEC-registered wealth manager based in Omaha, NE with $347 million in regulatory assets, lists Thomas F. Pflug on its Form ADV as Member Manager & Chief Compliance Officer, a control person.

Firms and roles

  • Pflug Koory, LLCMember Manager & Chief Compliance OfficerWealth manager · Omaha, NE · $347M in regulatory assets

AtlasMembers

Thomas’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Thomas’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.