Austin P. Toomey

TOOMEY INVESTMENT MANAGEMENT,

Wallingford, CT 06492

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CRD#: 5982808

Professional summary

Austin Patrick Toomey, CPWA®, who also goes by Austin Toomey, is a registered financial advisor currently at TOOMEY INVESTMENT MANAGEMENT, INC located in Wallingford, Connecticut and LEIGH BALDWIN & CO., LLC located in Wallingford, Connecticut.

Austin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Austin has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Austin Toomey

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.

12/2023 Toomey Investment Management -Tax Preparation; 20 hrs/week during tax season

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Austin Patrick Toomey'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®

CPWA^®

Certified Private Wealth Advisor

Start date: 2020-08-03

Expire date: 2024-07-31

Experience

Current

May 29, 2019 - Present

TOOMEY INVESTMENT MANAGEMENT, INC

Office #1: 420 Center Street 1st Floor, Wallingford, CT 06492

RIA

CRD#: 127346

Wallingford, CT

Current

March 6, 2012 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 420 Center Street Fl 1, Wallingford, CT 06492

RIA

CRD#: 38751

Wallingford, CT

Past

January 13, 2016 - December 31, 2018

TOOMEY INVESTMENT MANAGEMENT, INC

RIA

CRD#: 127346

WALLINGFORD, CT

Past

January 24, 2014 - December 31, 2014

TOOMEY INVESTMENT MANAGEMENT, INC

RIA

CRD#: 127346

WALLINGFORD, 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".

TOOMEY INVESTMENT MANAGEMENT, INC

TOOMEY FINANCIAL ADVISORS | TOOMEY, BRENDAN RICHARD, SR. | TOOMEY INVESTMENT MANAGEMENT, INC. | TOOMEY INVESTMENT MANAGEMENT, INC

CRD#: 127346 / SEC#: 801-112517

RIA

Registered Investment Advisory firm - (2/23/2018 Approved)

Connecticut

Registered Investment Advisory firm - (4/13/2018 Terminated)

Florida

Registered Investment Advisory firm - (4/13/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/13/2018 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.

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

Connecticut
(12/5/2012)

IAR

Connecticut
(5/29/2019)

IAR

Florida
(6/26/2019)

IAR

Massachusetts
(8/27/2019)

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: 1/25/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/5/2012

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TOOMEY INVESTMENT MANAGEMENT, INC

TOOMEY FINANCIAL ADVISORS | TOOMEY, BRENDAN RICHARD, SR. | TOOMEY INVESTMENT MANAGEMENT, INC. | TOOMEY INVESTMENT MANAGEMENT, INC

CRD#: 127346 / SEC#: 801-112517

RIA

Registered Investment Advisory firm - (2/23/2018 Approved)

Connecticut

Registered Investment Advisory firm - (4/13/2018 Terminated)

Florida

Registered Investment Advisory firm - (4/13/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/13/2018 Terminated)

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Contact information

Main Address

420 Center Street 1st Floor, Wallingford, CT 06492

Mailing Address

Phone number

(203) 949-1710

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 TOOMEY INVESTMENT MANAGEMENT, INC. BROCHURE (2/11/2025)

Regulatory assets under management

Total Number of Accounts	1,302
AUM (Assets Under Management)	$ 270,635,074

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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Austin P. Toomey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Austin Patrick Toomey's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

TOOMEY INVESTMENT MANAGEMENT, INC

TOOMEY INVESTMENT MANAGEMENT, INC

Primary Firm SEC Registration

TOOMEY INVESTMENT MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/2013

Series 63

Date: 3/26/2012

SIE

Date: 10/1/2018

Series 6

Date: 3/5/2012

FINRA

Current Firm

TOOMEY INVESTMENT MANAGEMENT, INC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOOMEY INVESTMENT MANAGEMENT, INC

TRUST BUT VERIFY

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