Thomas P. Caffrey

ALLSTATE FINANCIAL ADVISORS

Hilton Head Island, SC 29928-4740

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CRD#: 3069049

Professional summary

Thomas Patrick Caffrey, who also goes by Thomas P Caffrey, Tom Caffrey, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Hilton Head Island, South Carolina and ALLSTATE FINANCIAL SERVICES, LLC located in Hilton Head Island, South Carolina.

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 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas P Caffrey | Tom Caffrey

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 Patrick Caffrey'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

July 21, 2014 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 42 New Orleans Rd Ste 100, Hilton Head Island, SC 29928-4740

RIA

CRD#: 109524

Hilton Head Island, SC

Current

June 30, 2014 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 42 New Orleans Rd Ste 100, Hilton Head Island, SC 29928-4740

CRD#: 18272

Hilton Head Island, SC

Past

November 26, 2012 - February 8, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BLUFFTON, SC

Past

November 21, 2012 - February 8, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BLUFFTON, SC

Past

January 17, 2012 - May 22, 2012

L.M. KOHN & COMPANY

RIA

CRD#: 27913

BLUFFTON, SC

Past

January 17, 2012 - May 22, 2012

L.M. KOHN & COMPANY

CRD#: 27913

BLUFFTON, SC

Past

January 13, 2011 - January 17, 2012

MIDSOUTH CAPITAL, INC.

RIA

CRD#: 35039

BLUFFTON, SC

Past

September 3, 2010 - December 31, 2010

MIDSOUTH CAPITAL, INC.

RIA

CRD#: 35039

BLUFFTON, SC

Past

August 25, 2010 - January 17, 2012

MIDSOUTH CAPITAL, INC.

CRD#: 35039

ATLANTA, GA

Past

September 24, 2009 - August 30, 2010

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

ATLANTA, GA

Past

September 15, 2009 - August 30, 2010

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

ATLANTA, GA

Past

June 1, 2009 - October 8, 2009

MORGAN STANLEY

RIA

CRD#: 149777

ATLANTA, GA

Past

June 1, 2009 - October 8, 2009

MORGAN STANLEY

CRD#: 149777

ATLANTA, GA

Past

November 14, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

ATLANTA, GA

Past

November 3, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

ATLANTA, GA

Past

May 6, 2002 - April 7, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 18, 2000 - January 24, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 20, 1998 - March 31, 2000

HERBERT J. SIMS & CO, INC.

CRD#: 3420

FAIRFIELD, 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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 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.

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

South Carolina
(6/30/2014)

IAR

South Carolina
(7/21/2014)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/1/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/2/1998

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: 8/18/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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 P. Caffrey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

L.M. KOHN & COMPANY

L.M. KOHN & COMPANY

MIDSOUTH CAPITAL, INC.

MIDSOUTH CAPITAL, INC.

MIDSOUTH CAPITAL, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

HERBERT J. SIMS & CO, INC.

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/2000

Series 63

Date: 9/2/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1998

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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