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TS

Thomas H. Shrager

TWEEDY, BROWNE COMPANY
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 2069335
TS

Professional summary

Thomas Henrik Shrager, who also goes by Thomas H Shrager, is a registered financial advisor currently at TWEEDY, BROWNE COMPANY LLC located in Stamford, Connecticut and AMG DISTRIBUTORS, INC. located in Stamford, Connecticut.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Thomas has worked at 2 firms and has passed the SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas H Shrager

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 Henrik Shrager'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

October 28, 2014 - Present

TWEEDY, BROWNE COMPANY LLC

Office #1: One Station Place, Stamford, CT 06902
RIA
CRD#: 6857
Stamford, CT
Current

September 30, 2014 - Present

AMG DISTRIBUTORS, INC.

Office #1: One Station Place, Stamford, CT 06902
BD
CRD#: 27314
Stamford, CT
Past

January 9, 2003 - October 6, 2014

TWEEDY, BROWNE COMPANY LLC

BD
CRD#: 6857
STAMFORD, CT

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".
TWEEDY, BROWNE COMPANY LLC
TWEEDY, BROWNE COMPANY LLC
TWEEDY, BROWNE COMPANY L.P. | TWEEDY, BROWNE INC. | TWEEDY, BROWNE COMPANY LLC

CRD#: 6857 / SEC#: 801-10669, 8-18316

RIA
Registered Investment Advisory firm - SEC (3/25/1975 Approved)
BD
Terminated by SEC on 11/30/2014

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
(10/28/2014)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/8/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/21/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TWEEDY, BROWNE COMPANY LLC
TWEEDY, BROWNE COMPANY LLC
TWEEDY, BROWNE COMPANY L.P. | TWEEDY, BROWNE INC. | TWEEDY, BROWNE COMPANY LLC

CRD#: 6857 / SEC#: 801-10669, 8-18316

RIA
Registered Investment Advisory firm - SEC (3/25/1975 Approved)
BD
Terminated by SEC on 11/30/2014
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
One Station Place, Stamford, CT 06902
Mailing Address
Phone number
(203) 703-0600
Established
Delaware since 10/01/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
41

SEC notice filing (53 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

TWEEDY, BROWNE COMPANY LLC (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
AMG TBC HOLDINGS, INC.MEMBER
AMG TBC, LLCMANAGING MEMBER
SPEARS, JOHN DOUGLASMANAGING DIRECTOR808685
BROWNE, WILLIAM HETHERINGTONMANAGING DIRECTOR802645
FINN, GLENN CHRISTOPHERCHIEF OPERATIONS OFFICER2718270
ROGERS, PATRICIA ANNGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER2394326
SHRAGER, THOMAS HENRIKMANAGING DIRECTOR2069335
WYCKOFF, ROBERT QUENTIN JRMANAGING DIRECTOR1633652

Regulatory assets under management

Total Number of Accounts226
AUM (Assets Under Management)$ 7,265,030,665

Disclosures

Regulatory Event2

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

TWEEDY, BROWNE COMPANY LLC

TWEEDY, BROWNE COMPANY LLC

CRD#: 6857Stamford, CT 06902

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