Thomas H. Auty

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CRD#: 1178282

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.

Thomas Howard Auty, CFP® was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 4 firms and has passed the SIE, Series 7, Series 22, Series 6 and Series 26 exams.

Question & Answer

What are your service offerings?

Investment Planning

Insurance Planning

Comprehensive Financial Planni...

Retirement Planning

Are you a "fiduciary"?

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.

1. 04/11/2016 * Notary Public, * NOT INV REL * AT REPORTED BUSINESS LOCATION(S) * START 01/19/2016 * 1 HR/MO DURING SECS TRDG HRS. 2. 1/17/2017 - May, Bonee & Clark Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 01/17/2017 - 120 Hours Per Month/100 Hours During Securities Trading. 3. 4/17/2018 - May, Bonee & Clark Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Manager/Operations Oversight - Started 04/01/2017 - 10 Hours Per Month/1 Hour During Securities Trading.

Blog Corner

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®

CFP^®

Certified Financial Planner

Start date: 1998

Experience

Past

September 26, 2005 - December 31, 2021

SOMERSET WEALTH STRATEGIES, LLC

RIA

CRD#: 136240

GLASTONBURY, CT

Past

May 25, 2004 - May 22, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

GLASTONBURY, CT

Past

May 24, 2004 - May 22, 2023

LPL FINANCIAL LLC

CRD#: 6413

GLASTONBURY, CT

Past

October 26, 1994 - June 9, 2004

WS GRIFFITH SECURITIES, INC.

RIA

CRD#: 10410

EAST BERLIN, CT

Past

March 15, 1993 - June 9, 2004

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

June 13, 1984 - March 15, 1993

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/2007

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/11/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/12/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/22/1986

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SOMERSET WEALTH STRATEGIES, LLC

MAY, BONEE & CLARK FINANCIAL SERVICES | SOMERSET WEALTH STRATEGIES, LLC

CRD#: 136240 / SEC#:

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Contact information

Main Address

180 Glastonbury Bolulevard, Glastonbury, CT 06033

Mailing Address

Phone number

(860) 430-3700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Thomas H. Auty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WS GRIFFITH SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 5/21/2007

Series 22

Date: 10/11/1984

Series 6

Date: 6/12/1984

Series 26

Date: 10/22/1986

Current Firm

SOMERSET WEALTH STRATEGIES, LLC

Contact information

Documents

Red Flags

Company Information

SOMERSET WEALTH STRATEGIES, LLC

TRUST BUT VERIFY

Contact information

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