Thomas Caffrey has been an investment adviser representative at Donald W. Nicholson & Associates since August 2025, and is not listed among the firm’s executive officers or direct owners.
Donald W. Nicholson & Associates LTD is a Wilmington, DE firm with $171M under management, 156 clients and 4 advisers in one office, as of its April 2026 filing.
Thomas Caffrey’s longest registration was 3 years at Caffrey Retirement Solutions (2021–2024). Before joining Donald W. Nicholson & Associates in 2025, Thomas Caffrey was registered through Caffrey Retirement Solutions and Csenge Advisory Group, LLC.
- – present · 1 yearWilmington, DE · Adviser representative · Firm CRD 107054
- Moyer Wealth ManagementAlso current– present · 1 yearLansdale, PA · Adviser representative · Firm CRD 317908
- Caffrey Retirement Solutions– · 3 yearsPerkiomenville, PA · Adviser representative · Firm CRD 312280
- Csenge Advisory Group, LLC– · under a yearMalvern, PA · Adviser representative · Firm CRD 131167
- Lion Street Advisors, LLC– · under a yearMalvern, PA · Adviser representative · Firm CRD 167610
- FSC Securities Corporation– · 1 yearMalvern, PA · Adviser representative · Firm CRD 7461
Investment adviser representative registrations
Thomas Caffrey is registered as an investment adviser representative in 2 states. The first approvals date from April 2025; the most recent is Delaware, in August 2025.
- DelawareSince 8 August 2025
- PennsylvaniaSince 27 April 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 29 March 2024 |
| Series 65 | Uniform Investment Adviser Law Examination | 26 February 2021 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 19 October 2016 |
| Series 7 | General Securities Representative Examination | 23 June 2014 |
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Patrick Caffrey
- CRD
- 5866720
- Firm
- Donald W. Nicholson & Associates · CRD 107054
- Office
- 1403 SILVERSIDE RD, STE B, Wilmington, DE 19810
- Registration
- Investment adviser registration
- In the industry since
- February 2015
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Caffrey work?
Thomas Caffrey is an investment adviser representative registered through Donald W. Nicholson & Associates LTD since August 2025, and is not listed among the firm’s executive officers or direct owners.
Is Thomas Caffrey a financial advisor?
Yes. Thomas Caffrey has a current investment-adviser registration in Delaware and Pennsylvania, through Donald W. Nicholson & Associates since August 2025.
How many years of experience does Thomas Caffrey have?
Thomas Caffrey has 11 years in the financial industry, since February 2015, across 6 adviser firms.
What exams has Thomas Caffrey passed?
Thomas Caffrey has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 7TO. The earliest, the Series 7, was passed in June 2014. FINRA credited Thomas Caffrey with the SIE, which began in October 2018.
Where did Thomas Caffrey work before Donald W. Nicholson & Associates?
Before Donald W. Nicholson & Associates, Thomas Caffrey was registered through Caffrey Retirement Solutions, August 2021 to December 2024; Csenge Advisory Group, LLC, April 2021 to July 2021; Lion Street Advisors, LLC, July 2018 to December 2018; FSC Securities Corporation, January 2017 to July 2018.
Where is Thomas Caffrey based?
Thomas Caffrey’s registered office is in Wilmington, DE.
Is Thomas Caffrey registered with FINRA?
No. Thomas Caffrey has no current broker registration.
How can I verify Thomas Caffrey’s record?
Search CRD 5866720 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Caffrey’s full registration record.