Richard Jeffrey Thomas

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

• 02/2009 → 01/2017
  First Allied Securities
  San Diego, CA
• 07/2012 → 01/2017
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 01/2017 → 04/2022
  Sagepoint Financial, Inc.
  Greenville, DE
• 04/2022 → Present
  Perigon Wealth Management, Llc
  Wilmington, DE
• 06/2001 → 04/2022
  Greenville Financial Group, Llc
  Wilmington, DE
• 05/2022 → Present
  Purshe Kaplan Sterling Investments, Inc.
  Wilmington, DE

Previous Registrations

• 2017-01-25 → 2022-04-29
  Osaic Services, Inc.
  Wilmington, DE
  Greenville, DE
  Daufuskie Island, SC
• 2012-07-02 → 2017-01-27
  First Allied Advisory Services, Inc.
  Greenville, DE
• 2009-02-02 → 2012-07-02
  First Allied Securities, Inc.
  San Diego, CA
  Greenville, DE
• 2008-10-31 → 2009-02-17
  Osaic Services, Inc.
  Greenville, DE
• 2002-10-08 → 2008-10-31
  American General Securities Incorporated
  Greenville, DE
  Greenville, DE
  Houston, TX

Other Businesses

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.

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-11-22
• S63 Uniform Securities Agent State Law Examination
  1994-07-08

Designations

• Certified Financial Planner
• Chartered Financial Consultant