AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TM

Thomas J. Mccabe

Some features on this profile are disabled
CRD#: 1450266
TM

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 Jay Mccabe was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

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 14, 2018 - October 29, 2020

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

BD
CRD#: 36155
CHICAGO, IL
Past

July 12, 2017 - October 11, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
PAXTON, IL
Past

January 4, 1999 - October 11, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
PAXTON, IL
Past

January 12, 1993 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

May 30, 1986 - July 9, 1992

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/6/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/9/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/11/1989
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/7/1986
General Securities Principal Examination

Current Firm

PT
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
BETZOLD RESEARCH AND TRADING, INC. | PT CAPITAL PARTNERS, LLC | PERFORMANCE TRUST CAPITAL PARTNERS, LLC | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | BETZOLD, BERG, NUSSBAUM & HEITMAN, INC. | BETZOLD, BERG & NUSSBAUM, INC. | BETZOLD, BERG & ASSOCIATES, INC.

CRD#: 36155 / SEC#: 801-72427, 8-47035

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
500 W. Madison Suite 450, Chicago, IL 60661
Mailing Address
500 W. Madison Suite 450, Chicago, IL 60661
Phone number
(312) 521-1452
Established
Illinois since 10/06/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
357

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PTCP - FORM ADV PART 2 (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
PT FINANCIAL COMPANIES, LLCMANAGING MEMBER
BERG, RICHARD SCOTTBOARD MEMBER1077170
BROWN, ERIC PAULPRESIDENT - INSTITUTIONAL GROUP / BOARD MEMBER4213450
BURESH, ADAM COULTERBOARD MEMBER5216617
DOCHERTY, JENNIFER ANNCORPORATE SECRETARY4587223
DONOVAN, TRACIGENERAL COUNSEL5694928
GAZDA, RYAN MCHIEF FINANCIAL OFFICER4230980
GRAHAM, RICHARD WARWICK JRPARTNER AND MANAGING DIRECTOR, BOARD MEMBER5836195
JOHNSON, CRAIG STEPHENMANAGING DIRECTOR - TRADE DESK2339510
JOHNSON, ZACHARY ROBERTBOARD MEMBER5192352
LEIBFRIED, BRIAN KEITHMANAGING DIRECTOR, BOARD MEMBER4438951
LOVE, KRISTIN MCCO & COO4370951
SALUTRIC, DAVID RAYMONDHEAD OF CIA6146435
SHAH, CHIRAGCEO AND PRESIDENT / BOARD MEMBER4838599

Regulatory assets under management

Total Number of Accounts2
AUM (Assets Under Management)$ 301,689,867

Disclosures

Regulatory Event8

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.

Company Information

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

CRD#: 36155

TRUST BUT VERIFY

Monitor Thomas Mccabe

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.