Thomas Roehl has been Member, Chief Compliance Officer, and Chief Executive Officer of Roehl & Yi Investment Advisors since September 1998, is a control person of the firm and directly owns between 25% and 50% of it. Thomas Roehl holds a Bachelor of Arts in Business Administration from the University of Washington.
Roehl & Yi Investment Advisors, LLC is an Eugene, OR firm with $959M under management, 500 clients and 10 advisers across 4 offices, as of its March 2026 filing.
Thomas H. Roehl is Principal and co-founder of Roehl & Yi Investment Advisors, based in Eugene, Oregon. He provides vision and tactical guidance to the firm, oversees internal operations, leads the strategic planning team and is its Chief Compliance Officer. He has more than 35 years of investment and financial planning experience and continues to work directly with clients.
- – present · 24 yearsAdviser representative · Firm CRD 109258
Professional designations
Listed by Roehl & Yi Investment Advisors
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Thomas Roehl is registered as an investment adviser representative in 2 states. The first approvals date from July 2002; the most recent is Washington, in May 2025.
- OregonSince 31 July 2002
- WashingtonSince 29 May 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 24 October 1989 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 October 1983 |
| Series 7 | General Securities Representative Examination | 20 August 1983 |
| Series 22 | Direct Participation Programs Representative Examination | 7 March 1983 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 11 August 1982 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Thomas Henry Roehl
- CRD
- 1056108
- Firm
- Roehl & Yi Investment Advisors · CRD 109258
- Role
- Member, Chief Compliance Officer, and Chief Executive Officer
- Registration
- Investment adviser registration
- In the industry since
- August 1982
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- roehl-yi.com
Where does Thomas Roehl work?
Thomas Roehl has been Member, Chief Compliance Officer, and Chief Executive Officer of Roehl & Yi Investment Advisors, LLC since September 1998, and is a control person of the firm.
Is Thomas Roehl a financial advisor?
Yes. Thomas Roehl has a current investment-adviser registration in Oregon and Washington, through Roehl & Yi Investment Advisors since July 2002.
How many years of experience does Thomas Roehl have?
Thomas Roehl has 44 years in the financial industry, since August 1982, across 1 adviser firm.
What exams has Thomas Roehl passed?
Thomas Roehl has passed 5 licensing exams: the Series 6, Series 22, Series 7, Series 63 and Series 24. The earliest, the Series 6, was passed in August 1982. FINRA credited Thomas Roehl with the SIE, which began in October 2018.
Is Thomas Roehl registered with FINRA?
No. Thomas Roehl has no current broker registration.
Is Thomas Roehl a CFP?
Roehl & Yi Investment Advisors lists Thomas Roehl with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Thomas Roehl’s record?
Search CRD 1056108 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Roehl’s full registration record.
