Thomas Joseph Haggerty

Employer firm

Perigon Wealth Management, LLC CRD 131037

$11.3B regulatory AUM 3 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2016 → 11/2022
  Lpl Financial, Llc
  New York, NY
• 08/2016 → 02/2019
  Private Advisor Group, Llc
  New York, NY
• 02/2019 → 11/2022
  Pm Wealth Management, Llc
  New York, NY
• 11/2022 → Present
  Perigon Wealth Management, Llc D/B/A Pm Wealth Management
  New York, NY
• 01/2023 → Present
  Purshe Kaplan Sterling Investment
  New York, NY

Previous Registrations

• 2019-03-23 → 2022-12-19
  Pm Wealth Management, Llc
  New York, NY
• 2016-09-01 → 2019-03-14
  Private Advisor Group, Llc
  New York, NY
  Morristown, NJ
• 2005-05-11 → 2016-08-29
  Park Avenue Securities Llc
  Wappingers Falls, NY
  New York, NY
  New York, NY

Other Businesses

(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.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-05-10
• S63 Uniform Securities Agent State Law Examination
  2001-07-18

Other Names

• Tom Haggerty