TW
Tom Wirtshafter
Some features on this profile are disabled
CRD#: 1042793
TW
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tom Wirtshafter, who also goes by Tom M Wirtshafter, was a registered financial professional .
Tom is a previously registered financial professional and started their career in finance in 1982. Tom had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 79TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom M Wirtshafter
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.
1.OPERATOR OF BARROW STREET THEATRE AND PLAY PRODUCER. 50 HOURS MONTH 10-20 DURING MKT HOURS $30,000. PER YEAR. 2.TOWN HALL FOUNDATION - NON-PROFIT THEATER, NOT SECURITIES RELATED. TREASURER AND BOARD MEMBER. NO COMPENSATION. 25 HRS PER MONTH 3.BOOK OF MORMONS - PLAY, INVESTOR; ZERO HRS DEVOTED. 4. 360 FUNDS (FORMERLY MATRIX CHINA FUND) MUTUAL FUNDS IS SECURITIES RELATED TRUSTEE 10 HRS PER MONTH, 2 HOURS DURING MARKET HOURS 0% OWNERSHIP. 5.CULTURE PROJECT-NON PROFIT THEATRE; STARTED IN 2004 IS THE TREASURER AND BOARD MEMBER. DEVOTES 10 HRS PER MONTH; 5 HRS DURING MARKET HRS. 6/11/13 6. 2000 BWAY 24 LLC; START DATE 11/10/22 MANAGING PARTNER TO PURCHASE RESIDENCE IN NYC; NOT INVESTMENT RELATED;ZERO COMPENSATION; ZERO TIME DURING MARKET HRS 7. BETO WORKS - INVESTMENT IN FREEHOLD, BARS IN BROOKLYN/MIAMI, START DATE 2015, LP/INVESTOR, NOT INVESTMENT RELATED, 0 HOURS DEVOTED PER MONTH 8. CMA ENERGY FUND II - OIL/GAS PARTNERSHIP, NOT INVESTMENT RELATED, START DATE = 2019, LP/INVESTOR, 0 HOURS DEVOTED PER MONTH.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 31, 2008 - December 22, 2023
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
November 8, 2004 - December 22, 2023
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
WOODCLIFF, NJ
Past
March 20, 2003 - July 12, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
February 20, 2003 - March 19, 2003
GRR FINANCIAL, INC.
BD
CRD#: 122505
NEW YORK, NY
Past
September 20, 2001 - February 11, 2003
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
HOLBROOK, NY
Past
October 27, 1998 - March 15, 2001
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
September 16, 1991 - August 13, 1992
ABI SECURITIES, INC.
BD
CRD#: 24397
NEW YORK, NY
Past
April 29, 1982 - October 17, 2001
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
AP
AMERICAN PORTFOLIOS ADVISORS, INC
21ST CENTURY FINANCIAL SERVICES | ROSSITER FINANCIAL GROUP | ROONEY TAX & FINANCIAL SERVICES | ROHN HEIN ASSOCIATES | RJG TAX & CAPITAL SOLUTIONS, INC. | RIGHT FINANCIAL ADVISOR | RETIREMENT RESOURCE NETWORK | REISNER HUDEPOHL FINANCIAL SERVICES, INC. | PROFESSIONAL PLANNING SERVICES | PREFERRED FINANCIAL GROUP | PPS ADVISORS INC. | PINNACLE WEALTH MANAGEMENT | PINNACLE TAX ADVISORS | PERRY FINANCIAL GROUP | PENN PLAZA ASSOCIATES | PEARSON FINANCIAL ADVISORS | PEAK WEALTH SOLUTIONS | PATHWAY FINANCIAL GROUP OF CENTRAL FLORIDA | PASSPORT WEALTH | PARTNERS ALLIANCE | PALMER INSURANCE & FINANCIAL SERVICES, INC. | OSTAPOW FINANCIAL SERVICES | NORTHRIVER FINANCIAL GROUP, LLC | NORTHERN ADVISORY GROUP | NORTHEAST RISK MANAGEMENT GROUP, INC. | NORTH SHORE WEALTH MANAGEMENT ADVISORS | NORTH POINT ADVISORS INC. | NASSAU WEALTH MANAGEMENT | MURPHY FINANCIAL GROUP | MS BALLIN FINANCIAL STRATEGIES | MORROW FINANCIAL SERVICES | MKB ASSOCIATES, INC. | MILLER, CHRISTIAN & ZWIEBEL ASSET MGMT CORP | MFI RETIREMENT PLANNING ASSOCIATES | MCM INVESTOR SERVICES | MAP ESTATE PLANNING | MANZI, PINO ADVISORY SERVICES, LLC | MALCOLM WEBB WEALTH MANAGEMENT | MAGII, INC. | MADISON WEALTH MANAGERS | LYTLE & COMPANY | LOFTUS FINANCIAL, LLC | LIVE OAK WEALTH MANAGEMENT | LIBRA FINANCIAL GROUP | LEA FINANCIAL GROUP | LAPORTE WEALTH MANAGEMENT GROUP | KT WEALTH GROUP | KLYMAN FINANCIAL | K&R TAX AND FINANCIAL SERVICES, INC. | JOSEPH MCPHERSON, CFP | JMR FINANCIAL SERVICES | JMAC ADVISORS, INC. | JEM WEALTH MANAGEMENT | JCD ASSOCIATES INC. | J FERGUSON FINANCIAL, INC. | IVALUE FINANCIAL PLANNING, LLC | ITP PARTNERS, LLC | INVESTORS CHOICE FINANCIAL SERVICES INC. | INVERNESS FINANCIAL GROUP, INC. | INSIGHT CAPITAL MANAGEMENT | INFINITY TAX & FINANCIAL PLANNING | INDIANO & CO CPAS INC. | HUNTLEY FINANCIAL SERVICES, INC | HOPPER MCMILLIN | HIGHLAND WEALTH MANAGEMENT, LLC | HARRY KATZ & ASSOCIATES | HADDON PLANNING GROUP | GUIDANCE LIFE & FINANCIAL | GROSS FINANCIAL SERVICE | GOLDNER FINANCIAL GROUP | GOLDEN GATE FINANCIAL PARTNERS | GO FINANCIAL SERVICES | GENEVA WEALTH MANAGEMENT | GATTUSO FINANCIAL SERVICES | GARRY PRIVATE WEALTH RESOURCES, LLC | GALLANT INSURANCE INVESTMENTS | G.S. WEALTH MANAGEMENT, CORP. | FRANKLIN HAROLD FINANCIAL, LLC | FORTRESS FINANCIAL SERVICES, INC. | FORGE FINANCIAL ADVISORS | FOCUS FINANCIAL GROUP | FISCH FINANCIAL | FINGER LAKES INVESTMENTS CORP. | FINEST FINANCIAL GROUP | FINESCO ASSOCIATES | FINANCIAL SOLUTIONS | FINANCIAL PLANNING ADVISORY SERVICES, INC. | FINANCIAL DESIGN GROUP INC. | ESPARZA GROUP | ELITE WEALTH STRATEGIES | EAST END PLANNING, INC. | DIDDEL & DIDDEL | DEMPSEY WEISS & ASSOCIATES | DELORENZO FINANCIAL GROUP, LLC | DANIELS FINANCIAL SERVICES | DANIEL N SAXE INCOME TAX INC | CYSNER FINANCIAL SERVICES, INC. | CREATIVE CAPITAL GROUP | COX WEALTH MANAGEMENT, LLC | COLLINS WEALTH MANAGEMENT | COBRITY FINANCIAL | COACTIVE WEALTH STRATEGISTS, LLC | CLEARVIEW FINANCIAL SERVICES | CLAYTON FINANCIAL INC. | CLARK & COMPANY | CLARITY WEALTH MANAGEMENT LLC | CHARLETON FINANCIAL | CHAMPLAIN WEALTH MANAGEMENT | CF PROFESSIONAL, INC | CERTIFIED CONSULTING SERVICES | CAVE WEALTH MANAGEMENT | CARROLL FINANCIAL SERVICES, INC. | CARLOZZI FINANCIAL SERVICES | CARING FINANCIAL SERVICES LLC | CAPITAL WEALTH & TAX MANAGEMENT, LLC | CAPITAL BUSINESS STRATEGIES | CAPE COD WEALTH STRATEGIES & INSURANCE SERVICES, LLC. | BRAVERA PLANNING & INVESTING | BOCKLET WEALTH MANAGEMENT | BLANK FINANCIAL GROUP | BHT WEALTH MANAGEMENT, LLC. | BEVERLY CURMANSKIE FINANCIAL LLC | BELMONT TAX AND FINANCIAL SERVICES | BEDNAR FINANCIAL GROUP, LLC | BARONS FINANCIAL STRATEGIES, INC. | BARBARA TREADWELL, LLC | BAKER FINANCIAL GROUP | BAILEY FINANCIAL PLANNING, LLC | ATT FINANCIAL GROUP | ASSET & WEALTH MANAGEMENT GROUP LLC | ASPIRE FINANCIAL GROUP, LLC | ANGELO PLANNING GROUP, LLC | AMERICAN PREMIER FINANCIAL GROUP | AMERICAN PORTFOLIOS ADVISORS. INC | AMERICAN PORTFOLIOS ADVISORS, INC | ADVANTAGE WEALTH MANAGEMENT | ADVANTAGE RETIREMENT SOLUTIONS | ABS WEALTH MANAGEMENT | ABEL WEALTH MANAGEMENT, LLC | A. GEOFFREY WADE FINANCIAL SERVICES LLC | A. DEGREGORIO JR. LLC | 76 WEALTH ADVISORY...
CRD#: 112697 / SEC#: 801-61065
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
4250 Veteran's Memorial Highway 4th. Floor, Suite 420e, Holbrook, NY 11741
Mailing Address
Phone number
631-439-4600 X156
Established
Firm type
Fiscal year end
# of Employees
700
Regulatory assets under management
| Total Number of Accounts | 54,553 |
| AUM (Assets Under Management) | $ 13,083,636,201 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/25/2024 |
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.
