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Thomas M. Tolleson
PERIGON WEALTH MANAGEMENT
Atlanta, GA 30309
Some features on this profile are disabled
CRD#: 1452953
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Professional summary
Thomas Mahone Tolleson JR, CFP®, who also goes by Tom Tolleson, is a registered financial advisor currently at PERIGON WEALTH MANAGEMENT, LLC located in Atlanta, Georgia and PURSHE KAPLAN STERLING INVESTMENTS located in Atlanta, Georgia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 15 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Tolleson
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.) Insurance. Not investment related. Address: Atlanta, GA. Nature: Fixed Insurance Business, Life Insurance, LTC, etc. primarily done through Dempsey Agency with commissions paid either by Dempsey or by Insurance Carrier. Position: Licensed Insurance Agent. Start Date: 02/1991. Number Of Hours: 2 Securities Trading Hours: 2. Description: Use Dempsey's brokerage capabilities to source insurance products for clients for life, LTC, and disability. (2.) Wellspring Advisory Services, LLC. Not investment related. Address: Atlanta, GA. Nature: Corporation for investment advisory earnings to flow through. Position: Owner. Start Date: 02/2012. Number of Hours: 5 Securities Trading Hours: 2. Duties: minimal activity to maintain the corporation. (3.) Langham Partnership USA, Inc. Not investment related. Address: Sobrato Center for Nonprofits, P.O. Box 189, Cave Creek, AZ 85327, United States. Nature: This is a not-for-profit ministry founded by Langham Partnership USA (formerly John Stott Ministries) that trains, equips, and provides books and resources for religious leaders in the developing world. Position: Finance Chair for Board of Directors. Start Date: 12/2020. Number of Hours: 3 Securities Trading Hours: 3. Primary Duties: Presenting the budget to the Board; The Committee holds meetings 2X a year to address any financial issues that the President or Board may want us to consider for chair input or to present to the Board. We have two or three-day board meetings each calendar year. (4.) Mr. Tolleson is dually-registered with Perigon Wealth Management, LLC ("Perigon") and Purshe Kaplan Sterling Investments, Inc.("PKS"). Mr. Tolleson has served as an investment advisor representative for Perigon and as a registered representative with PKS since 10/2022. Business is conducted in Atlanta, GA. Approximately 90% of Mr. Tolleson's time is spent as an investment advisor representative and the balance as a registered representative. (5) CS Lewis Institute Atlanta. Not-investment related. P.O. Box 81575, Atlanta, GA 30305. C.S. Lewis Institute Atlanta is a nonprofit organization recognized by the IRS as 501(c)(3) for religious purposes. The Institute's primary activities are Christian teaching, leadership development, and cultivating community. Position: Board Member. 01/2009. Two hours per month, none of which are during securities trading hours. (6) Crowne Partners, Inc.; Not investment related; Birmingham, AL; Partnership; Part Owner; Start 01/1999; 0 hours/month; Passive owner. (7) Cypress Creek PMF Endowment Fund.; Not investment related; Milwaukee, WI; Partnership; Part Owner; Start 07/2022; 0 hours/month; Passive owner.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Mahone Tolleson JR's 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®
Experience
Current
October 3, 2022 - Present
PERIGON WEALTH MANAGEMENT, LLC
Office #1: 1776 Peachtree Street Nw Suite 620s, Atlanta, GA 30309RIA
CRD#: 131037
Atlanta, GA
Current
September 30, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 1776 Peachtree St. Nw Suite 620 South, Atlanta, GA 30309BD
CRD#: 35747
Atlanta, GA
Past
April 13, 2018 - September 30, 2022
CATALYST WEALTH MANAGEMENT
RIA
CRD#: 291138
ATLANTA, GA
Past
February 5, 2018 - July 11, 2018
KALOS MANAGEMENT
RIA
CRD#: 133025
Atlanta, GA
Past
February 2, 2018 - September 30, 2022
KALOS CAPITAL, INC.
BD
CRD#: 44337
Atlanta, GA
Past
April 20, 2012 - February 5, 2018
THE STRATEGIC FINANCIAL ALLIANCE, INC.
RIA
CRD#: 126514
ATLANTA, GA
Past
March 30, 2012 - February 5, 2018
THE STRATEGIC FINANCIAL ALLIANCE, INC.
BD
CRD#: 126514
ATLANTA, GA
Past
June 27, 2006 - April 2, 2012
SANDERS MORRIS LLC
RIA
CRD#: 20580
ATLANTA, GA
Past
July 27, 2004 - December 31, 2006
SMH CAPITAL ADVISORS LLC
RIA
CRD#: 108344
ATLANTA, GA
Past
July 27, 2004 - April 2, 2012
SANDERS MORRIS LLC
BD
CRD#: 20580
ATLANTA, GA
Past
January 1, 2004 - August 25, 2004
CETERA ADVISORS LLC
RIA
CRD#: 10299
ATLANTA, GA
Past
January 1, 2004 - August 25, 2004
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
April 11, 2003 - January 1, 2004
IFG ADVISORY SERVICES INC
RIA
CRD#: 105316
ATLANTA, GA
Past
June 18, 1992 - January 2, 2004
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
February 19, 1991 - July 1, 1998
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
April 18, 1990 - March 7, 1991
MONARCH SECURITIES, INC.
BD
CRD#: 2809
Past
January 4, 1990 - April 12, 1990
KEOGLER, MORGAN & COMPANY, INC.
BD
CRD#: 16546
ATLANTA, GA
Past
February 5, 1986 - January 1, 1988
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
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".
PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS
CRD#: 131037 / SEC#: 801-62988
RIA
Registered Investment Advisory firm - (4/7/2004 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/18/2024)
RR
Arizona(9/30/2022)
RR
California(9/30/2022)
RR
Colorado(9/30/2022)
RR
Connecticut(9/30/2022)
RR
Florida(9/30/2022)
RR
Georgia(9/30/2022)
IAR
Georgia(10/17/2022)
RR
North Carolina(10/5/2022)
RR
Oklahoma(9/30/2022)
RR
Pennsylvania(9/30/2022)
RR
South Carolina(9/30/2022)
RR
Tennessee(9/30/2022)
RR
Texas(9/30/2022)
IAR
Texas(10/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS
CRD#: 131037 / SEC#: 801-62988
RIA
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Contact information
Main Address
201 Mission Street Suite 1825, San Francisco, CA 94105
Mailing Address
Phone number
(877) 977-2555
Established
Firm type
Fiscal year end
# of Employees
141
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,456 |
| AUM (Assets Under Management) | $ 8,714,418,958 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2024 | ||
| 10/24/2023 |
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.
