Thomas Shiffer has been Managing Member, Chief Compliance Officer of Cadence Wealth Management since October 2010, is a control person of the firm and directly owns between 50% and 75% of it.
Cadence Wealth Management LLC is a Westborough, MA firm with $448M under management, 696 clients and 6 advisers in one office, as of its March 2026 filing.
Thomas Shiffer’s longest registration is the current one, 16 years at Cadence Wealth Management since 2010. Before joining Cadence Wealth Management in 2010, Thomas Shiffer was registered through Ameriprise Financial Services, Inc.
- – present · 16 yearsWestborough, MA · Adviser representative · Firm CRD 155080
- Ameriprise Financial Services, Inc.– · 7 yearsWestborough, MA · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Thomas Shiffer is registered as an investment adviser representative in 2 states. The first approvals date from October 2010; the most recent is Texas, in December 2022.
- MassachusettsSince 4 October 2010
- TexasSince 1 December 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 4 | Registered Options Principal Examination | 23 December 2006 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 15 December 2006 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 30 October 2006 |
| Series 24 | General Securities Principal Examination | 3 April 2006 |
| Series 66 | Uniform Combined State Law Examination | 12 December 2001 |
| Series 7 | General Securities Representative Examination | 28 November 2001 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Garth Shiffer
- CRD
- 4471246
- Firm
- Cadence Wealth Management · CRD 155080
- Role
- Managing Member, Chief Compliance Officer
- Office
- 1800 WEST PARK DRIVE, SUITE 330, Westborough, MA 01581
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 2001
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Thomas Shiffer work?
Thomas Shiffer has been Managing Member, Chief Compliance Officer of Cadence Wealth Management LLC since October 2010, and is a control person of the firm.
Is Thomas Shiffer a financial advisor?
Yes. Thomas Shiffer has a current investment-adviser registration in Massachusetts and Texas, through Cadence Wealth Management since October 2010.
How many years of experience does Thomas Shiffer have?
Thomas Shiffer has 24 years in the financial industry, since November 2001, across 2 adviser firms.
What exams has Thomas Shiffer passed?
Thomas Shiffer has passed 7 licensing exams: the Series 7, Series 66, Series 24, Series 10, Series 9, Series 4 and Series 99TO. The earliest, the Series 7, was passed in November 2001. FINRA credited Thomas Shiffer with the SIE, which began in October 2018.
Where is Thomas Shiffer based?
Thomas Shiffer’s registered office is in Westborough, MA.
Is Thomas Shiffer registered with FINRA?
Yes. Thomas Shiffer has a current broker registration, under CRD 4471246.
Source: FINRA BrokerCheck
How can I verify Thomas Shiffer’s record?
Search CRD 4471246 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Thomas Shiffer’s full registration record.