Thomas A. Barkume

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CRD#: 1262546

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Alan Barkume, who also goes by Tom Alan Barkume, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 31, Series 3, Series 7, Series 22, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Alan Barkume

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.

1) McDermott Investment Services, investment related, Logan, UT, Broker Dealer, Registered Representative, Start Date 09/2020, approximately 120 hours/month with 120 hours devoted during securities trading hours

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 9, 2020 - December 23, 2024

MCDERMOTT INVESTMENT ADVISORS, LLC

RIA

CRD#: 132221

Logan, UT

Past

September 24, 2020 - January 6, 2025

MCDERMOTT INVESTMENT SERVICES, LLC

CRD#: 154926

NAPLES, FL

Past

October 18, 2017 - April 29, 2020

PRIMEX

CRD#: 29394

NEW YORK, NY

Past

July 28, 2004 - June 14, 2017

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

CEDAR CITY, UT

Past

June 30, 2004 - June 14, 2017

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

CEDAR CITY, UT

Past

October 6, 2000 - July 26, 2004

CETERA ADVISORS LLC

RIA

CRD#: 10299

CEDAR CITY, UT

Past

June 8, 2000 - July 26, 2004

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

May 10, 1993 - November 21, 2006

BARKUME WEALTH MANAGEMENT, INC.

RIA

CRD#: 116438

CEDAR CITY, UT

Past

May 20, 1991 - July 19, 2000

PACIFIC HARBOR SECURITIES, INC.

CRD#: 8755

HIGHLAND, UT

Past

November 20, 1986 - June 3, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 10, 1984 - September 19, 1986

MOUNTAIN STATES BROKERAGE AND SECURITIES, INC.

CRD#: 14295

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".

MCDERMOTT INVESTMENT ADVISORS, LLC

CRD#: 132221 / SEC#: 801-79404

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

California

Registered Investment Advisory firm - (5/7/2014 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2014 Terminated)

Maine

Registered Investment Advisory firm - (4/7/2014 Terminated)

Nevada

Registered Investment Advisory firm - (10/6/2006 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/7/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (4/7/2014 Terminated)

New York

Registered Investment Advisory firm - (4/7/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/8/2014 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 4/18/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/3/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 12/22/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/18/1984

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/10/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/3/1992

General Securities Principal Examination

Current Firm

MCDERMOTT INVESTMENT ADVISORS, LLC

CRD#: 132221 / SEC#: 801-79404

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

California

Registered Investment Advisory firm - (5/7/2014 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2014 Terminated)

Maine

Registered Investment Advisory firm - (4/7/2014 Terminated)

Nevada

Registered Investment Advisory firm - (10/6/2006 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/7/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (4/7/2014 Terminated)

New York

Registered Investment Advisory firm - (4/7/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/8/2014 Terminated)

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Contact information

Main Address

780 Fifth Avenue South Suite 200, Naples, FL 34102

Mailing Address

P.o. Box 1889, Bethlehem, PA 18016-1889

Phone number

(610) 882-1460

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCDERMOTT INVESTMENT ADVISORS, LLC FORM ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	709
AUM (Assets Under Management)	$ 211,048,107

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

Thomas A. Barkume

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MCDERMOTT INVESTMENT SERVICES, LLC

PRIMEX

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

BARKUME WEALTH MANAGEMENT, INC.

PACIFIC HARBOR SECURITIES, INC.

LEHMAN BROTHERS INC.

MOUNTAIN STATES BROKERAGE AND SECURITIES, INC.

Primary Firm SEC Registration

MCDERMOTT INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/18/1984

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 6/3/2005

Series 3

Date: 12/22/1986

Series 7

Date: 11/15/1986

Series 22

Date: 4/18/1984

Series 53

Date: 4/10/2003

Series 24

Date: 2/3/1992

Current Firm

MCDERMOTT INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCDERMOTT INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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