TD
Thomas E. Davis
KESTRA PRIVATE WEALTH SERVICES
Brea, CA 92821
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CRD#: 1162602
TD
Professional summary
Thomas Edward Davis is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Brea, California and KESTRA INVESTMENT SERVICES, LLC located in Brea, California.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 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.
Business Name: Strategic Wealth Management Investment Related: No Address: Three Pointe Drive Suite 111 Brea CA 92821 Nature of Business: Other Back Office Operations Position, Title or Relationship: member Start Date: 5/24/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: pay taxes. Business Name: Sunday Talk LLC Investment Related: No Address: 166 G Street Havasu Lake CA 92363 Nature of Business: Real Estate Position, Title or Relationship: one half owner Start Date: 5/11/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: none Business Name: CHINO COMMUNITY THEATRE A California Nonprofit Public Benefit Corporation Investment Related: No Address: 13123 7th St, Chino CA 91710 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: I will be a one of many other directors on the board Start Date: 5/15/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Meet once a quarter Business Name: AMERICAN WEALTH MANAGEMENT POSITION: financial advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 10/18/2022 ADDRESS: 325 W. Gurley, suite 103, Prescott AZ 86301 DESCRIPTION: manage client accounts Business Name: CHINO VALLEY REPUBLICAN ASSEMBLY POSITION: President NATURE: NONE INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/27/2024 ADDRESS: 6873 Lacey Ct., Chino CA 91710, United States DESCRIPTION: Primarilypreside at all monthly meetings. Supervise organizations activities. Enforce the bylaws.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Edward Davis'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®
NoneExperience
Current
May 23, 2018 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: Three Point Dr. Suite 111, Brea, CA 92821RIA
CRD#: 155193
Brea, CA
Current
May 23, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 3 Pointe Drive Suite 111, Brea, CA 92821Office #2: 3 Pointe Drive Suite 111, Brea, CA 92821BD
CRD#: 42046
Brea, CA
Past
June 1, 2009 - May 24, 2018
MORGAN STANLEY
RIA
CRD#: 149777
CLAREMONT, CA
Past
June 1, 2009 - May 24, 2018
MORGAN STANLEY
BD
CRD#: 149777
CLAREMONT, CA
Past
July 8, 1997 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CLARMONT, CA
Past
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CLARMONT, CA
Past
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 24, 1983 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/23/2018)
RR
California(5/23/2018)
IAR
California(5/23/2018)
RR
North Carolina(5/5/2020)
RR
Oregon(7/20/2021)
RR
Pennsylvania(5/23/2018)
RR
Tennessee(10/22/2021)
RR
Texas(9/14/2021)
IAR
Texas(9/16/2021)
RR
Vermont(5/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
