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The objective of Wealth Hazards is to help readers to learn how to identify risks or threats to their financial health. One objective is to provide examples of how to avoid, manage, and recover from challenging events and how to reduce the likelihood of their continued effects. Another goal is to provide a framework that includes tools to help people to avoid, manage, and recover from life’s wealth hazards.
Thomas Hertog is the Managing Director of Wealth Hazards. Thomas has worked in the securities, financial services and professional services industries for 25 years. He joined Wealth Hazards after serving as Chief Compliance Officer of a $2 billion investment management, investment research, and broker-dealer firm. He provided leadership in regulatory compliance matters for the SEC-registered investment advisory firm, the independent investment research entity, and the FINRA/SEC-registered broker-dealer operation. Prior to this he worked for the largest Big 5 accounting and consulting firm. There he managed a team of professionals to deliver best practices solutions to the firm’s staff and their clients around the world.
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