Thomas D. Faught

CARY STREET PARTNERS

San Antonio, TX 78232

Some features on this profile are disabled

CRD#: 1641238

Professional summary

Thomas Duane Faught is a registered financial advisor currently at CARY STREET PARTNERS located in San Antonio, Texas and CARY STREET PARTNERS located in San Antonio, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 6 and Series 24 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.

FINRA Content Committee; Qualifications exam construction and maintenance; Committee member; Washington, DC; 2003; Investment related (An industry related qualifying exam); 1 Market hour devoted to activity per month; Currently serving on the Securities Industry Essentials Exam content committee writing and reviewing test exams for clarity and accuracy.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Duane Faught'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

November 1, 2013 - Present

CARY STREET PARTNERS

Office #1: 13750 San Pedro Ave Suite 940, San Antonio, TX 78232

RIA

CRD#: 128545

San Antonio, TX

Current

October 24, 2013 - Present

CARY STREET PARTNERS

Office #1: 13750 San Pedro Ave Suite 940, San Antonio, TX 78232

CRD#: 128089

San Antonio, TX

Past

March 13, 2009 - December 9, 2013

RIVERSTONE WEALTH MANAGEMENT, INC.

RIA

CRD#: 40418

SAN ANTONIO, TX

Past

March 13, 2009 - December 9, 2013

RIVERSTONE WEALTH MANAGEMENT, INC.

CRD#: 40418

SAN ANTONIO, TX

Past

July 2, 2004 - March 26, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN ANTONIO, TX

Past

July 2, 2004 - March 26, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN ANTONIO, TX

Past

April 20, 1987 - September 10, 2003

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

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".

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 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.

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

California
(12/6/2013)

Colorado
(12/6/2013)

Georgia
(1/3/2024)

New York
(12/6/2013)

Oklahoma
(1/3/2020)

Oregon
(1/3/2020)

Tennessee
(1/7/2022)

Texas
(10/24/2013)

IAR

Texas
(11/1/2013)

Virginia
(12/9/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/29/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/4/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/6/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/21/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/16/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/10/1994

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CARY STREET PARTNERS

CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD#: 128545 / SEC#: 801-64239

RIA

Registered Investment Advisory firm - (8/12/2005 Approved)

Virginia

Registered Investment Advisory firm - (3/2/2007 Terminated)

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

901 East Byrd Street Suite 1001, Richmond, VA 23219

Mailing Address

Phone number

(804) 340-8100

Established

Firm type

Fiscal year end

# of Employees

166

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CSPIA FORM ADV PART 2A FIRM BROCHURE DATED 06/27/2025 (6/27/2025)

CSPIA FORM ADV PART 2A WRAP BROCHURE DATED 06/27/2025 (6/27/2025)

Regulatory assets under management

Total Number of Accounts	13,853
AUM (Assets Under Management)	$ 8,263,891,736

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2024	Cover Page	Report
07/25/2023	Cover Page	Report
01/27/2023	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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Christopher Hall

LPL FINANCIAL LLC

IAR

San Antonio, TX

Robert Armendariz

EAGLE STRATEGIES LLC

IAR

SAN ANTONIO, TX

Joe-ben O'banion

TITLEIST ASSET MANAGEMENT, LLC

IAR

SAN ANTONIO, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas D. Faught

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Duane Faught's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARY STREET PARTNERS

RIVERSTONE WEALTH MANAGEMENT, INC.

RIVERSTONE WEALTH MANAGEMENT, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

USAA INVESTMENT SERVICES COMPANY

Primary Firm SEC Registration

CARY STREET PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/29/2004

Series 63

Date: 5/4/1987

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 7/6/2010

Series 7

Date: 5/21/1988

Series 6

Date: 4/16/1987

Series 24

Date: 2/10/1994

FINRA

Current Firm

CARY STREET PARTNERS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARY STREET PARTNERS

TRUST BUT VERIFY

Contact information

Similar Advisors