Thomas Leffel is a registered investment advisor, based in Shelton, CT, with 19 years of industry experience.
Location
1 Corporate Drive, Suite 225, Shelton, CT, 06484
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Thomas serves as a trustee for the Charles P Leffel Decedent Trust, the Grace Leffel Trust, and the Lucy Dziedzic Trust, each taking a few hours per week. These activities are investment-related.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
March 2026 - Present · 4 mos
Procyon
March 2023 - Present · 3 yrs 4 mos
Previous Registrations
Academy Securities, INC.Broker
October 2017 - October 2019 · 2 yrs
Ccm Securities, LLCBroker
July 2010 - September 2011 · 1 yr 2 mos
Mf Global INC.Broker
February 2007 - August 2010 · 3 yrs 6 mos
Fimat USA, LLCBroker
September 2001 - February 2007 · 5 yrs 5 mos
Dain Rauscher IncorporatedBroker
March 1998 - September 2001 · 3 yrs 6 mos
Dain Rauscher IncorporatedBroker
January 1998 - March 1998 · 2 mos
Rosenthal Global Securities, L.P.Broker
October 1997 - January 1998 · 3 mos
Cantor Fitzgerald & CO.Broker
February 1997 - October 1997 · 8 mos
State Registrations1 state
CT
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.