Thomas W. Lifson

SVB WEALTH

San Francisco, CA 94105

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CRD#: 4889592

Professional summary

Thomas Walt Lifson, who also goes by Thomas W Lifson, is a registered financial advisor currently at SVB WEALTH located in San Francisco, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Thomas has worked at 14 firms and has passed the Series 66, Series 63, Series 31, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas W Lifson

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.

MedKal Health Ltd.; Biotechnology Startup; Not investment-related; Stirling, Scotland, UK; Affiliation started on 01/01/2021; Title: Advisor; Duties: serve as an unofficial advisor on balance sheet and cash management for the company; 0 hours devoted each month during securities trading hours; 8 hours devoted each month outside securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Walt Lifson'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 8, 2025 - Present

SVB WEALTH

Office #1: 222 2nd Street 18th Floor, San Francisco, CA 94105

RIA

CRD#: 172832

San Francisco, CA

Past

July 31, 2017 - February 26, 2025

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

San Francisco, CA

Past

April 20, 2017 - February 26, 2025

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN FRANCISCO, CA

Past

March 30, 2017 - February 26, 2025

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

Past

August 10, 2015 - March 17, 2017

JEFFERIES LLC

CRD#: 2347

SAN FRANCISCO, CA

Past

December 5, 2013 - March 2, 2015

WELLS FARGO INSTITUTIONAL SECURITIES, LLC

CRD#: 5958

SAN FRANCISCO, CA

Past

December 5, 2013 - August 11, 2015

WELLS FARGO SECURITIES, LLC

CRD#: 126292

SAN FRANCISCO, CA

Past

July 16, 2013 - December 9, 2013

PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 145876

SAN FRANCISCO, CA

Past

July 15, 2013 - December 9, 2013

PIPER SANDLER & CO.

CRD#: 665

SEATTLE, WA

Past

February 6, 2012 - August 2, 2013

INVESCO MANAGED ACCOUNTS, LLC

RIA

CRD#: 154461

SEATTLE, WA

Past

February 6, 2012 - July 16, 2013

SEATTLE-NORTHWEST SECURITIES CORPORATION

CRD#: 10639

SAN FRANCISCO, CA

Past

June 1, 2009 - February 16, 2012

MORGAN STANLEY

RIA

CRD#: 149777

PURCHASE, NY

Past

June 1, 2009 - February 16, 2012

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

NEW YORK, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

July 6, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN RAFAEL, CA

Past

July 6, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

SAN RAFAEL, CA

Past

June 10, 2005 - June 7, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN RAFAEL, CA

Past

April 12, 2005 - June 7, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

SAN RAFAEL, CA

Past

January 24, 2005 - February 4, 2005

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, 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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 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.

Highlighted states indicate IAR registrations

IAR

California
(7/8/2025)

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

IAR

Series 66

Date: 4/20/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/24/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 4/19/2019

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/21/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Thomas W. Lifson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CITI PRIVATE ALTERNATIVES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

JEFFERIES LLC

WELLS FARGO INSTITUTIONAL SECURITIES, LLC

WELLS FARGO SECURITIES, LLC

PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC

PIPER SANDLER & CO.

INVESCO MANAGED ACCOUNTS, LLC

SEATTLE-NORTHWEST SECURITIES CORPORATION

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 4/20/2017

Series 63

Date: 1/24/2005

Series 31

Date: 4/19/2019

SIE

Date: 10/1/2018

Series 7

Date: 5/19/2005

Series 6

Date: 1/21/2005

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

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