TW
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Thomas Wolfson
39 Years of Experience
Del Mar, CA
8 Disclosures
Thomas Wolfson is a registered investment advisor at First Light Retirement, LLC, based in Del Mar, CA, with 39 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Retirement Planning. Their firm serves 21 clients with $720M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
2 advisors
IM Fee
Planning only
Assets Under Management
$717.7M
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
1330 Camino Del Mar, Del Mar, CA, 92014
Get directionsHistory
Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 1993Settled
Customer Dispute
June 1993Settled
Customer Dispute
December 1992Settled
Customer Dispute
October 1992Settled
Customer Dispute
June 1992Settled
Customer Dispute
May 1991Settled
Customer Dispute
October 1990Settled
Criminal
March 1977Final Disposition
Employment History
Current Registrations
First Light Retirement, LLC
June 2021 - Present · 4 yrs 11 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
July 2007 - June 2021 · 13 yrs 11 mos
Wells Fargo Clearing Services, LLC
June 2007 - June 2021 · 14 yrs
Citigroup Global Markets INC.
July 1997 - July 2007 · 10 yrs
Citigroup Global Markets INC.Broker
July 1993 - July 2007 · 14 yrs
Lehman Brothers INC.Broker
February 1991 - July 1993 · 2 yrs 5 mos
Prudential-Bache Securities INC.Broker
March 1986 - February 1991 · 4 yrs 11 mos
State Registrations2 states
CAID
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.