TH
Thomas J. Haggerty
PERIGON WEALTH MANAGEMENT
NEW YORK, NY 10122
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CRD#: 2471221
TH
Professional summary
Thomas Joseph Haggerty, who also goes by Tom Haggerty, is a registered financial advisor currently at PERIGON WEALTH MANAGEMENT, LLC located in New York, New York and PURSHE KAPLAN STERLING INVESTMENTS located in New York, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Haggerty
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.) Advanced Focus; Not Investment Related; various locations in NYC metro area; Focus group participant; Start 08/2016; 3 Hr/Mo; 1% Time Spent; Participate in focus groups sometimes about various market research topics. (2.) New York State Insurance CE Monitor/Proctor; Not Investment Related; Various NYC Metro area locations; Start 08/2016; 1 Hr/Mo; 1% Time Spent; Provide insurance CE monitor/proctor services as required by the NYS Dept. of Insurance. (3.) No Business Name; Not Investment Related; 14 Penn Plaza, 18th Floor, NY, NY 10122; Notary; Start 08/2016; 2 Hours Per Month - Time Spent 1%; Notary Public New York State - qualified in Queens County. (4.) Insurance Agent; Not Investment Related; 14 Penn Plaza, 18th Floor, NY, NY 10122; Start 08/2016; 10 Hr/Mo; 1 Hour(s) During Securities Trading; DI, LTCi, group health, group annuities, fixed immediate annuities, fixed deferred annuities. (5.) PM Wealth Management; Investment Related; 14 Penn Plaza, 18th Floor, NY, NY 10122; Start 08/2016; d/b/a for investment advisory business with Perigon. (6.) Trust; Not investment related; Woodside, NY; trust; trustee; start 08/2016; approximately 4 hours/month, 0 hours/month during securities trading hours; act in a fiduciary duty for a family member's trust. (7.) Board Member; Not investment related; Woodside, NY; Real Estate; Board Member; Start 10/2019; Approximately 5 hours/month; 0 hours/month during securities trading hours; act as board member in apartment complex (8.) Mr. Haggerty is dually-registered with Perigon Wealth Management, LLC ("Perigon") and Purshe Kaplan Sterling Investments, Inc. ("PKS"). Mr. Haggerty has served as an investment advisor representative for Perigon since 11/2022 and as a registered representative with PKS since 1/2023. Business is conducted from 14 Penn Plaza, 18th Floor, New York, NY 10122. Approximately 90% of Mr. Haggerty's time is spent in an investment advisor representative capacity and the balance as a registered representative.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Joseph Haggerty'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®
NoneExperience
Current
November 16, 2022 - Present
PERIGON WEALTH MANAGEMENT, LLC
Office #1: 14 Penn Plaza Suite 1316, New York, NY 10122RIA
CRD#: 131037
NEW YORK, NY
Current
January 17, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 14 Penn Plaza 18th Floor, New York, NY 10122BD
CRD#: 35747
New York, NY
Past
March 23, 2019 - December 19, 2022
PM WEALTH MANAGEMENT, LLC
RIA
CRD#: 298324
NEW YORK, NY
Past
September 1, 2016 - March 14, 2019
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
New York, NY
Past
August 22, 2016 - November 22, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
NEW YORK, NY
Past
May 11, 2005 - August 29, 2016
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
NEW YORK, NY
Past
April 15, 2003 - August 29, 2016
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
March 22, 2001 - February 8, 2002
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
July 27, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
July 27, 1998 - March 20, 2001
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
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
Arizona(1/17/2023)
RR
California(1/17/2023)
RR
Connecticut(1/17/2023)
RR
Delaware(1/17/2023)
RR
Florida(1/17/2023)
RR
Hawaii(1/17/2023)
RR
New Jersey(1/17/2023)
IAR
New York(11/16/2022)
RR
New York(1/17/2023)
RR
North Carolina(1/17/2023)
RR
Pennsylvania(1/17/2023)
IAR
Texas(11/16/2022)
RR
Texas(1/17/2023)
RR
Washington(1/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General 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
Registered Investment Advisory firm - (4/7/2004 Approved)Upgrade to AdvisorCheck Premium
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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.
