Thomas Nelson Mccain
Professional Summary
Thomas Nelson Mccain is a registered financial advisor currently at ROUND TABLE FINANCIAL located in Little Rock, Arkansas. Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Thomas has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
43 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ROUND TABLE FINANCIAL | ROUND TABLE SERVICES, LLC
Contact Information
Main Address
3625 Kavanaugh Blvd. Suite A, Little Rock, AR 72205Phone Number
(501) 500-0105# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
77AUM (Assets Under Management)
$45,600,578Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(11/16/2020)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Nelson Mccain's CRS (Customer Relationship Summary).
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