Thomas T. Wolfson

FIRST LIGHT RETIREMENT

DEL MAR, CA 92014

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CRD#: 1470824

Professional summary

Thomas Tierney Wolfson is a registered financial advisor currently at FIRST LIGHT RETIREMENT, LLC located in Del Mar, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Tierney Wolfson'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

June 10, 2021 - Present

FIRST LIGHT RETIREMENT, LLC

Office #1: 1330 Camino Del Mar, Del Mar, CA 92014

RIA

CRD#: 314509

DEL MAR, CA

Past

July 2, 2007 - June 1, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RANCHO SANTA FE, CA

Past

June 29, 2007 - June 1, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RANCHO SANTA FE, CA

Past

July 8, 1997 - July 18, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN DIEGO, CA

Past

July 31, 1993 - July 18, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN DIEGO, CA

Past

February 21, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 21, 1986 - February 14, 1991

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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".

FIRST LIGHT RETIREMENT, LLC

CRD#: 314509 / SEC#: 801-121422

RIA

Registered Investment Advisory firm - (6/8/2021 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

California
(6/11/2021)

IAR

Idaho
(6/10/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/23/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

Current Firm

FIRST LIGHT RETIREMENT, LLC

CRD#: 314509 / SEC#: 801-121422

RIA

Registered Investment Advisory firm - (6/8/2021 Approved)

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Contact information

Main Address

1330 Camino Del Mar, Del Mar, CA 92014

Mailing Address

Phone number

(858) 692-1283

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- FIRST LIGHT RETIREMENT, LLC (3/15/2025)

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 717,738,763

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.

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Advisor Monitoring

Firm Stability Insights

Thomas T. Wolfson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Tierney Wolfson's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

FIRST LIGHT RETIREMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/23/2015

Series 63

Date: 3/27/1986

SIE

Date: 10/1/2018

Series 7

Date: 3/15/1986

Current Firm

FIRST LIGHT RETIREMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST LIGHT RETIREMENT, LLC

TRUST BUT VERIFY

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