Thomas N. Mccain

ROUND TABLE FINANCIAL

LITTLE ROCK, AR 72205

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CRD#: 1130813

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Nelson Mccain's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 16, 2020 - Present

ROUND TABLE FINANCIAL

Office #1: 3625 Kavanaugh Blvd. Suite A, Little Rock, AR 72205

RIA

CRD#: 307113

LITTLE ROCK, AR

Past

December 16, 2014 - November 13, 2020

MILLENNIUM CAPITAL ADVISORS, LLC

RIA

CRD#: 108641

LITTLE ROCK, AR

Past

October 29, 2008 - December 12, 2014

SIMMONS FIRST CAPITAL MANAGEMENT, INC.

RIA

CRD#: 137713

LITTLE ROCK, AR

Past

March 14, 1985 - June 7, 1999

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

June 6, 1983 - November 13, 1984

T. J. RANEY & SONS, INC.

CRD#: 3128

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arkansas
(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

State Security Law Exam

IAR

Series 65

Date: 10/27/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/1990

General Securities Principal Examination

Current Firm

ROUND TABLE FINANCIAL

ROUND TABLE FINANCIAL | ROUND TABLE SERVICES, LLC

CRD#: 307113 / SEC#: 801-118001

RIA

Registered Investment Advisory firm - (6/29/2020 Terminated)

Arkansas

Registered Investment Advisory firm - (6/24/2020 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3625 Kavanaugh Blvd. Suite A, Little Rock, AR 72205

Mailing Address

Phone number

(501) 500-0105

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	74
AUM (Assets Under Management)	$ 42,625,950

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas N. Mccain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Nelson Mccain's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROUND TABLE FINANCIAL

MILLENNIUM CAPITAL ADVISORS, LLC

SIMMONS FIRST CAPITAL MANAGEMENT, INC.

STEPHENS

T. J. RANEY & SONS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/2008

Series 63

Date: 6/1/1983

Series 7

Date: 5/21/1983

Series 24

Date: 10/12/1990

Current Firm

ROUND TABLE FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROUND TABLE FINANCIAL

TRUST BUT VERIFY

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