Thomas Desiderio

CLINTON INVESTMENT MANAGEMENT

STAMFORD, CT 06902

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CRD#: 2429072

Professional summary

Thomas Desiderio, who also goes by Thomas A Desiderio, is a registered financial advisor currently at CLINTON INVESTMENT MANAGEMENT, LLC located in Stamford, Connecticut.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Thomas has worked at 11 firms and has passed the Series 63, Series 66, SIE, Series 31, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas A Desiderio

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 Desiderio'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

December 10, 2025 - Present

CLINTON INVESTMENT MANAGEMENT, LLC

Office #1: 333 Ludlow Street South Tower 8th Floor, Stamford, CT, 06902

RIA

CRD#: 143599

STAMFORD, CT

Past

August 6, 2025 - December 9, 2025

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

Glastonbury, CT

Past

June 16, 2025 - December 8, 2025

SYMMETRY PARTNERS

RIA

CRD#: 120982

GLASTONBURY, CT

Past

December 6, 2021 - July 12, 2024

AMERICAN BEACON ADVISORS, INC.

RIA

CRD#: 105552

Wilton, CT

Past

May 10, 2021 - July 12, 2024

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

CRD#: 287788

IRVING, TX

Past

January 7, 2016 - May 7, 2021

GOTHAM ASSET MANAGEMENT, LLC

RIA

CRD#: 149335

NEW YORK, NY

Past

April 10, 2013 - May 7, 2021

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

NEW YORK, NY

Past

July 2, 2009 - December 31, 2015

GOTHAM ASSET MANAGEMENT, LLC

RIA

CRD#: 149335

NEW YORK, NY

Past

October 15, 2008 - March 9, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

NEW YORK, NY

Past

July 22, 2008 - March 9, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

September 9, 2005 - January 29, 2008

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

February 20, 1997 - September 9, 2005

PERSHING ADVISOR SOLUTIONS LLC

CRD#: 36671

JERSEY CITY, NJ

Past

March 14, 1995 - February 27, 1997

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

July 5, 1994 - February 17, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

CLINTON INVESTMENT MANAGEMENT, LLC

CRD#: 143599 / SEC#: 801-69342

RIA

Registered Investment Advisory firm - (6/26/2008 Approved)

Connecticut

Registered Investment Advisory firm - (6/26/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(12/10/2025)

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

Series 63

Date: 6/5/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/8/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/30/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 55

Date: 8/25/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/23/1994

General Securities Representative Examination

Current Firm

CLINTON INVESTMENT MANAGEMENT, LLC

CRD#: 143599 / SEC#: 801-69342

RIA

Registered Investment Advisory firm - (6/26/2008 Approved)

Connecticut

Registered Investment Advisory firm - (6/26/2008 Terminated)

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Contact information

Main Address

333 Ludlow Street South Tower 8th Floor, Stamford, CT, 06902

Mailing Address

Phone number

(203) 276-6246

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLINTON INVESTMENT MANAGEMENT FORM ADV PART 2A BROCHURE MARCH 20, 2025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,846
AUM (Assets Under Management)	$ 3,531,162,064

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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Firm Stability Insights

Thomas Desiderio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

SYMMETRY PARTNERS

AMERICAN BEACON ADVISORS, INC.

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

GOTHAM ASSET MANAGEMENT, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

GOTHAM ASSET MANAGEMENT, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

PERSHING LLC

PERSHING ADVISOR SOLUTIONS LLC

PERSHING LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CLINTON INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/5/2013

Series 66

Date: 9/8/2008

SIE

Date: 10/1/2018

Series 31

Date: 7/30/2008

Series 55

Date: 8/25/1999

Series 7

Date: 6/23/1994

Current Firm

CLINTON INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLINTON INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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