Mark David Thomas
Professional Summary
Mark David Thomas is a registered financial advisor currently at CAPSTONE WEALTH located in Billings, Montana. Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Mark has worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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D.A. DAVIDSON & CO.
Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
CAPSTONE WEALTH | CAPSTONE WEALTH MANAGEMENT, LLC | CAPSTONE WEALTH MANAGEMENT, INC. | CAPSTONE WEALTH MANAGEMENT
Contact Information
Main Address
1731 Poly Drive, Billings, MT 59102Phone Number
(406) 325-1500# of Employees
8SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
508AUM (Assets Under Management)
$354,276,732Similar Advisors
D.A. DAVIDSON & CO.
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.
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D.A. DAVIDSON & CO.
Primary Firm SEC Registration
CAPSTONE WEALTH | CAPSTONE WEALTH MANAGEMENT, LLC | CAPSTONE WEALTH MANAGEMENT, INC. | CAPSTONE WEALTH MANAGEMENT
State Registrations and Notice Filings
(3/15/2004)
(2/12/2013)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1987About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Mark David Thomas's CRS (Customer Relationship Summary).
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D.A. DAVIDSON & CO.
