Thomas A. Luing
Professional summary
Thomas Alfred Luing, CFP®, who also goes by Tom Luing, is a registered financial advisor currently at CAPITAL MANAGEMENT ASSOCIATES INC located in Minneapolis, Minnesota and CAPITAL MANAGEMENT SECURITIES, INC. located in Minneapolis, Minnesota.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Alfred Luing's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1995
Experience
September 14, 2011 - Present
CAPITAL MANAGEMENT ASSOCIATES INC
Office #1: 7900 Xerxes Ave. S, Ste 500, Minneapolis, MN 55431-1120August 10, 2009 - Present
CAPITAL MANAGEMENT SECURITIES, INC.
Office #1: 7900 Xerxes Avenue South Suite 500, Minneapolis, MN 55431Office #2: 7900 Xerxes Ave S. #500, Minneapolis, MN 55431-1120August 15, 2003 - June 19, 2009
LPL FINANCIAL LLC
August 15, 2003 - June 19, 2009
LPL FINANCIAL LLC
October 21, 2002 - February 26, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 26, 2001 - October 21, 2002
VOYA FINANCIAL ADVISORS, INC.
July 29, 1999 - August 25, 2000
STOCKWALK.COM, INC.
May 13, 1999 - July 22, 1999
MJK CLEARING, INC.
February 25, 1999 - May 19, 1999
WELLS FARGO SECURITIES INC.
January 15, 1990 - May 4, 1999
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 27, 1988 - January 15, 1990
NORWEST BROKERAGE SERVICES, INC.
December 26, 1986 - July 21, 1987
CREATIVE EQUITY RESOURCES, INC.
Primary Firm SEC Registration
CAPITAL MANAGEMENT ASSOCIATES INC
CRD#: 105010 / SEC#: 801-35808
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/3/2018)
(4/9/2024)
(4/9/2024)
(4/9/2024)
(3/14/2016)
(4/9/2024)
(1/5/2016)
(4/9/2024)
(4/11/2014)
(4/9/2024)
(7/27/2011)
(9/14/2011)
(8/10/2009)
(1/22/2014)
(1/5/2016)
(4/9/2024)
(9/16/2016)
(4/9/2024)
(11/15/2013)
(4/7/2016)
(4/9/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CAPITAL MANAGEMENT ASSOCIATES INC
CRD#: 105010 / SEC#: 801-35808
Contact information
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 932 |
| AUM (Assets Under Management) | $ 1,627,864,626 |
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
CAPITAL MANAGEMENT ASSOCIATES INC
CRD#: 105010Minneapolis, MN 55431-1120TRUST BUT VERIFY
Monitor Thomas Luing
Get automatic monthly alerts on:
