Philip P. Thomas

HMS INVESTMENT ADVISORS

NASHVILLE, TN 37218

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CRD#: 1158925

Professional summary

Philip Patrick Thomas, who also goes by Phil Thomas, is a registered financial advisor currently at HMS INVESTMENT ADVISORS located in Nashville, Tennessee.

Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Philip has worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Phil Thomas

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 Philip Patrick Thomas's CRS (Customer Relationship Summary).

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

August 19, 2013 - Present

HMS INVESTMENT ADVISORS

Office #1: 5130 Ashland City Hwy, Nashville, TN 37218

RIA

CRD#: 149764

NASHVILLE, TN

Past

July 19, 2007 - December 21, 2013

HARMONY INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 132949

BRENTWOOD, TN

Past

June 9, 2004 - July 19, 2007

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

NASHVILLE, TN

Past

September 12, 2000 - July 19, 2007

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

NASHVILLE, TN

Past

August 14, 2000 - October 4, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 21, 2000 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

September 2, 1997 - July 18, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

January 1, 1991 - September 2, 1997

VINING-SPARKS IBG, LLC

CRD#: 27502

MEMPHIS, TN

Past

August 22, 1989 - September 2, 1997

ICBA SECURITIES

CRD#: 24088

MEMPHIS, TN

Past

July 28, 1987 - January 1, 1991

VINING-SPARKS SECURITIES, INC.

CRD#: 10073

Past

March 17, 1987 - July 2, 1987

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

CRD#: 16493

Past

August 16, 1983 - January 8, 1987

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

CRD#: 6950

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HMS INVESTMENT ADVISORS

HARMONY INVESTMENT MANAGEMENT, INC. | STERLING RETIREMENT MANAGEMENT | HMS INVESTMENT ADVISORS | HMS CAPITAL MANAGEMENT, LLC

CRD#: 149764 / SEC#: 801-78569

RIA

Registered Investment Advisory firm - (10/8/2013 Approved)

Arkansas

Registered Investment Advisory firm - (10/10/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (11/1/2013 Terminated)

Tennessee

Registered Investment Advisory firm - (11/9/2013 Terminated)

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).

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

Tennessee
(8/19/2013)

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: 8/7/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/16/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 8/5/1983

Municipal Securities Representative Examination

Current Firm

HMS INVESTMENT ADVISORS

HARMONY INVESTMENT MANAGEMENT, INC. | STERLING RETIREMENT MANAGEMENT | HMS INVESTMENT ADVISORS | HMS CAPITAL MANAGEMENT, LLC

CRD#: 149764 / SEC#: 801-78569

RIA

Registered Investment Advisory firm - (10/8/2013 Approved)

Arkansas

Registered Investment Advisory firm - (10/10/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (11/1/2013 Terminated)

Tennessee

Registered Investment Advisory firm - (11/9/2013 Terminated)

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Contact information

Main Address

5130 Ashland City Hwy, Nashville, TN 37218

Mailing Address

Phone number

(615) 829-7200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - HMS CAPITAL MANAGEMENT (2/5/2025)

Regulatory assets under management

Total Number of Accounts	376
AUM (Assets Under Management)	$ 281,932,427

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/21/2025	Cover Page	Report
07/24/2024	Cover Page	Report
12/18/2023	Cover Page	Report
10/26/2022	Cover Page	Report

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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Firm Stability Insights

Philip P. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Patrick Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARMONY INVESTMENT MANAGEMENT, INC.

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

J.C. BRADFORD & CO.

VINING-SPARKS IBG, LLC

ICBA SECURITIES

VINING-SPARKS SECURITIES, INC.

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

Primary Firm SEC Registration

HMS INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/7/2007

Series 63

Date: 8/16/1983

Series 7

Date: 3/15/1986

Series 52

Date: 8/5/1983

Current Firm

HMS INVESTMENT ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HMS INVESTMENT ADVISORS

TRUST BUT VERIFY

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