RT
Richard J. Thomas
PERIGON WEALTH MANAGEMENT
Centreville, DE 19807
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CRD#: 2511190
RT
Professional summary
Richard Jeffrey Thomas, CFP®, ChFC® is a registered financial advisor currently at PERIGON WEALTH MANAGEMENT, LLC located in Centreville, Delaware and PURSHE KAPLAN STERLING INVESTMENTS located in Centreville, Delaware.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Retirement Planning
Insurance Planning
Investment Planning
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.
1. Seasonal Rental Property. Position: Co-Owner Nature: Sole Proprietorship Investment Related: No. Number Of Hours: 5 Securities Trading Hours: 0 Start Date: 05/15/2003. Address: Estero, FL, United States; Description: Marketing And Maintenance Of Residential Condo In Gated Community In Southwest Florida. 2. Fixed Insurance. Position: Insurance Agent. Nature: Independent Contractor (Sole Propreitor). Investment Related: Yes. Number Of Hours: 32 Securities Trading Hours: 28 Start Date: 06/01/2001. Address: 5806 Kennett Pike, Centreville De 19807, United States. Description: Marketing and sales of insurance products - life, disability, long term care, health and group insurance, offered to individuals and businesses. 3. Mr. Thomas is dually-registered with Perigon Wealth Management LLC and Purshe Kaplan Sterling Investments, Inc ("PKS"). Mr. Thomas has served as an investment advisor representative of Perigon Wealth Management and as a registered representative of PKS since 4/2022. Business is conducted from Wilmington, DE. Approximately 90% of Mr. Thomas's time is spent as an investment advisor representative and the remainder as a registered representative. 4. Concord Soccer Association. Not Investment related. PO Box 7063 Wilmington, DE 19803. Concord Soccer Association is a non-profit, community-based, volunteer organization devoted to the development of youth through the sport of soccer. Position / title - Treasurer (Officer/Director). The start date of your relationship - 05/15/21 hours/month you devote to this business - 10 Hrs. During securities trading hours - 2 Hrs. The Treasurer role is strictly oversight/planning, no direct handling of finances, no check writing authority, deposits to be made or funds transfer responsibilities. A contracted bookkeeping service that handles all day-to-day management of funds. Volunteer, no compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Jeffrey Thomas'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®
CFP®
Start date: 1993
Experience
Current
April 27, 2022 - Present
PERIGON WEALTH MANAGEMENT, LLC
Office #1: 5806 Kennett Pike, Centreville, DE 19807RIA
CRD#: 131037
Centreville, DE
Current
May 27, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 5806 Kennett Pike, Centreville, DE 19807BD
CRD#: 35747
Centreville, DE
Past
January 25, 2017 - April 29, 2022
OSAIC SERVICES, INC.
RIA
CRD#: 133763
WILMINGTON, DE
Past
January 25, 2017 - April 29, 2022
OSAIC SERVICES, INC.
BD
CRD#: 133763
WILMINGTON, DE
Past
July 2, 2012 - January 27, 2017
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
GREENVILLE, DE
Past
February 2, 2009 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
GREENVILLE, DE
Past
February 2, 2009 - January 27, 2017
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
GREENVILLE, DE
Past
October 31, 2008 - February 17, 2009
OSAIC SERVICES, INC.
RIA
CRD#: 133763
GREENVILLE, DE
Past
October 31, 2008 - February 17, 2009
OSAIC SERVICES, INC.
BD
CRD#: 133763
GREENVILLE, DE
Past
October 8, 2002 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
GREENVILLE, DE
Past
June 4, 2001 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
GREENVILLE, DE
Past
August 2, 1994 - July 3, 2001
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
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
IAR
Delaware(4/27/2022)
RR
Delaware(5/27/2022)
RR
Florida(5/27/2022)
RR
Idaho(7/14/2022)
RR
Maryland(5/27/2022)
RR
New Jersey(5/27/2022)
RR
New York(4/10/2024)
RR
Ohio(6/2/2022)
RR
Pennsylvania(5/27/2022)
RR
South Carolina(5/27/2022)
RR
Texas(5/27/2022)
RR
Virginia(5/27/2022)
RR
Washington(5/27/2022)
RR
Wisconsin(5/27/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Company Information
PERIGON WEALTH MANAGEMENT, LLC
CRD#: 131037Centreville, DE 19807TRUST BUT VERIFY
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Contact information
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