Be advised. This advisor is no longer registered as an Independent Advisor Representative. They may still be registered as a broker.
Thomas Moritz, financial advisor Pasadena CA
96 score

Thomas Moritz

CRD Number: 1864800
Current Firm: Clifford Swan Investment Counselors

Thomas Moritz (CRD# 1864800) is an Investment Advisor Representative working at Clifford Swan Investment Counselors in Pasadena, CA and has over 22 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Clifford Swan Investment Counsel Pasadena, CA Jan 2014 - Current 2
D.a. Davidson & Company Los Angeles, CA Nov 2013 - Dec 2013 < 1
Crowell, Weedon & Company Los Angeles, CA Apr 2006 - Nov 2013 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1993
S65 NASAA Investment Advisors Law Examination Jan 1999
Contact Info for Thomas A. Moritz
Phone Number: 626-792-2228
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
Types of Clients
Registered States


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Clean Record
This advisor has a clean track record with regulators.

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