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
TL

Thomas S. Leffel

PROCYON
Shelton, CT 06484
Some features on this profile are disabled
CRD#: 1049612
TL

Professional summary

Thomas Somerville Leffel, who also goes by Thomas S Leffel, is a registered financial advisor currently at PROCYON located in Shelton, Connecticut.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas S Leffel

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) Procyon Advisors, LLC. Investment Related. At Registered Location. RIA. IAR. 4/2025. 160. 160. Trader & Portfolio manager. 2) Fixed Insurance. Investment Related. At Registered location. Fixed/Traditional Insurance. Agent. 4/2025. 1. 1. Provide insurance advice based on the needs of client(s).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Somerville Leffel'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

March 24, 2023 - Present

PROCYON

Office #1: 1 Corporate Drive Suite 225, Shelton, CT 06484
RIA
CRD#: 288239
Shelton, CT
Past

October 12, 2017 - October 31, 2019

ACADEMY SECURITIES, INC.

BD
CRD#: 17433
South Norwalk, CT
Past

July 21, 2010 - September 26, 2011

CCM SECURITIES, LLC

BD
CRD#: 104457
NEW YORK, NY
Past

February 26, 2007 - August 10, 2010

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

September 4, 2001 - February 14, 2007

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL
Past

March 2, 1998 - September 21, 2001

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

January 15, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

October 30, 1997 - January 27, 1998

ROSENTHAL GLOBAL SECURITIES LLC

BD
CRD#: 19721
CHICAGO, IL
Past

February 11, 1997 - October 7, 1997

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY

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".
PR
PROCYON
PROCYON | PROCYON TRUST | PROCYON PRIVATE WEALTH PARTNERS, LLC | PROCYON PRIVATE WEALTH PARTNERS LLC | PROCYON PARTNERS | PROCYON ADVISORS, LLC

CRD#: 288239 / SEC#: 801-110493

RIA
Registered Investment Advisory firm - (5/26/2017 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
Connecticut
(3/24/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/24/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/23/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/22/2001
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/31/2010
Municipal Securities Principal Examination

Current Firm

PR
PROCYON
PROCYON | PROCYON TRUST | PROCYON PRIVATE WEALTH PARTNERS, LLC | PROCYON PRIVATE WEALTH PARTNERS LLC | PROCYON PARTNERS | PROCYON ADVISORS, LLC

CRD#: 288239 / SEC#: 801-110493

RIA
Registered Investment Advisory firm - (5/26/2017 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
1 Corporate Drive Suite 225, Shelton, CT 06484
Mailing Address
Phone number
(475) 232-2704
Established
Firm type
Fiscal year end
# of Employees
47

SEC notice filing (28 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

PROCYON DISCLOSURE BROCHURE (11/4/2025)

Regulatory assets under management

Total Number of Accounts5,638
AUM (Assets Under Management)$ 7,769,672,465

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

PROCYON

CRD#: 288239Shelton, CT 06484

TRUST BUT VERIFY

Monitor Thomas Leffel

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

Similar Advisors

DH
Donald HenryAdvisorCheck Check Mark
CITIGROUP GLOBAL MARKETS INC.
IAR
RR
Norwalk, CT
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