Broker Check
Thomas Sherman, MBA, CLTC, RICP®

Thomas Sherman, MBA, CLTC, RICP®

Tom was a client of Strategies for Wealth long before he joined the firm. After a 20-year successful marketing career and business owner, he opted for a change to positively affect the lives of others.                                             
Tom has tremendous passion for guiding people and takes great pride in the impact that strategic planning has on clients. He takes a holistic approach and does not come to clients with any preconceived notions. The client’s individual circumstances dictate his recommendations. A successful plan is created in line with investment goals, while addressing concerns and mitigating risks that could impact the client’s financial future.

In Tom’s first year with Strategies for Wealth, he was awarded the coveted “New Associate of the Year” award for the Westchester office and was ranked 7th nationally among new associates. In his second year, Tom ranked in the top 5% of company advisors nationwide. Tom’s success has continued throughout his 20 years with the firm. His success is based on several factors: his ability to help his clients overcome their concerns and achieve their goals, unwavering integrity and work ethic, easy demeanor, uncommon knowledge, and more than 40 years of business experience.

Tom works with individuals and families as a personal CFO, positioning them for a more secure future by addressing four critical areas: protection, assets, liabilities and cash flow. This results in lower risk, more guarantees, increased retirement income, and ultimately, greater confidence in ones’ financial decisions and future.

Partnering with business owners, Tom strategizes in exit/succession planning to increase EBITA for a higher sales price while simultaneously eliminating double taxation, allowing owners to depart with significantly greater money than the traditional sales/transfer techniques. His team analyzes buy-sell (or operating) agreements so partners can leave the business under their own terms, without incidence.  He is involved with executive and group benefits to attract, reward and retain employees. Tom is affiliated with Integrity Advisors (IA), a well-known family practice specializing in custom design and implementation of retirement plans to reduce income taxes and maximize owner’s wealth. Staying current on changes in federal tax law that impacts business owners is a key strength of theirs.

Tom was named New Associate of the Year, 2003; “Leader’s Club” qualifier multiple years; “5 Star Wealth Manager” award by Westchester Magazine, one of only 7 recipients to receive this for 12 consecutive years: 2012-2023; “America’s 2013 Select Financial Advisors” award for his dedication and leadership within the industry; recipient of Westfair Communications’ 2018 and 2019 “Top Wealth Advisers” award for Westchester & Fairfield Counties.

Prior to joining Strategies for Wealth, Tom was SVP, General Manager of a nationally recognized marketing agency that grew from $8,000,000 to $18,000,000 in billings, and 40 to 100 people, in three years. Tom also owned his own business teaching communication skills and media interviewing skills to senior executives domestically and internationally.

Tom was certified by The America College in Retirement Planning with the RICP® designation. He also holds the CLTC designation which certifies him to offer Long Term Care.

Tom has been published in a variety of magazines.

Licenses and Registrations: Equity: Investment Advisor Representative, Park Avenue Securities. Series 6, 7, 63, 65. CA, CO, CT, DE, FL, IL, ME, NC, NH, NJ, NY, OH, OR, VA. Insurance: Life & Health, Long Term Care. CA, CO, CT, FL, IL, MA, ME, MD, MO, NC, NH, NJ, NY, OH, OR, PA, TN, TX. State licensing/registrations available upon request.

Tom lives in California with his wife; they have two grown children. His free time focuses on family and friends, and is spent skiing, golfing, and traveling.

Professional Organizations/Associations:                                                                                                      University of Denver Alumni Association; Regional Interviewer
George Washington University Alumni Association & Mentor
National Association of Insurance and Financial Advisors
Volunteer with the Alzheimer’s Association conducting community outreach educational presentations

Education:                                                                                                                                                              BA - University of Denver
MBA - George Washington University

Registered Representative and Financial Advisor of Park Avenue Securities and Financial Representative of Guardian. CA Insurance License #0E67622