Mark D. Thomas

CAPSTONE WEALTH

Billings, MT 59102

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CRD#: 1647158

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.

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.

I am a licensed insurance agent (since 1987) and licensed insurance consultant (since 2011). As an insurance agent I evaluate a client or prospective client's insurance needs and recommend insurance products as necessary. As an insurance consultant I analyze a client's or prospective client's sale, exchange and funding adequacy of their existing policy(s). This business is conducted in the same office as Capstone Wealth Management. I devote approximately 3 hours per month to this activity which may or may not be conducted during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark David Thomas'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

March 15, 2004 - Present

CAPSTONE WEALTH

Office #1: 1731 Poly Drive, Billings, MT 59102

RIA

CRD#: 130128

Billings, MT

Past

September 27, 2005 - October 10, 2005

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

April 1, 2004 - October 31, 2006

EIDE BAILLY ADVISORS, LLC

RIA

CRD#: 113564

BILLINGS, MT

Past

April 1, 2004 - October 4, 2005

CAP PRO BROKERAGE SERVICES, INC.

CRD#: 103953

COLUMBUS, OH

Past

January 22, 2003 - March 30, 2004

THE CONCORD EQUITY GROUP, LLC

RIA

CRD#: 14569

BILLINGS, MT

Past

September 1, 2000 - March 30, 2004

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

ISELIN, NJ

Past

August 29, 1997 - September 1, 2000

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

March 26, 1997 - September 12, 1997

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 22, 1992 - April 29, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

January 11, 1991 - December 20, 1991

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

May 3, 1989 - January 23, 1990

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

March 30, 1987 - April 12, 1989

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

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".

CAPSTONE WEALTH

CAPSTONE WEALTH | CAPSTONE WEALTH MANAGEMENT, LLC | CAPSTONE WEALTH MANAGEMENT, INC. | CAPSTONE WEALTH MANAGEMENT

CRD#: 130128 / SEC#: 801-132460

RIA

Registered Investment Advisory firm - (4/18/2025 Approved)

Louisiana

Registered Investment Advisory firm - (10/1/2025 Terminated)

Montana

Registered Investment Advisory firm - (10/1/2025 Terminated)

Texas

Registered Investment Advisory firm - (10/1/2025 Terminated)

Wyoming

Registered Investment Advisory firm - (10/1/2025 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.

Highlighted states indicate IAR registrations

IAR

Montana
(3/15/2004)

IAR

Texas
(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

State Security Law Exam

IAR

Series 65

Date: 7/2/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/11/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/26/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/28/2002

General Securities Principal Examination

Current Firm

CAPSTONE WEALTH

CAPSTONE WEALTH | CAPSTONE WEALTH MANAGEMENT, LLC | CAPSTONE WEALTH MANAGEMENT, INC. | CAPSTONE WEALTH MANAGEMENT

CRD#: 130128 / SEC#: 801-132460

RIA

Registered Investment Advisory firm - (4/18/2025 Approved)

Louisiana

Registered Investment Advisory firm - (10/1/2025 Terminated)

Montana

Registered Investment Advisory firm - (10/1/2025 Terminated)

Texas

Registered Investment Advisory firm - (10/1/2025 Terminated)

Wyoming

Registered Investment Advisory firm - (10/1/2025 Terminated)

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Contact information

Main Address

1731 Poly Drive, Billings, MT 59102

Mailing Address

Phone number

(406) 325-1500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 0319 CAPSTONE WEALTH SEC FORM ADV BROCHURE (3/19/2025)

CAPSTONE WEALTH FORM ADV PART 2 BROCHURE EFF 2025 0313 (3/13/2025)

Regulatory assets under management

Total Number of Accounts	465
AUM (Assets Under Management)	$ 301,108,894

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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Advisor Monitoring

Firm Stability Insights

Mark D. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark David Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

EIDE BAILLY ADVISORS, LLC

CAP PRO BROKERAGE SERVICES, INC.

THE CONCORD EQUITY GROUP, LLC

THE CONCORD EQUITY GROUP, LLC

THE ADVISORS GROUP, INC.

LPL FINANCIAL LLC

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

GREEN HILL FINANCIAL SERVICE CORPORATION

TOWER SQUARE SECURITIES, INC.

Primary Firm SEC Registration

CAPSTONE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 7/2/1998

Series 63

Date: 3/26/1987

Series 7

Date: 12/11/2000

Series 6

Date: 3/26/1987

Series 24

Date: 3/28/2002

Current Firm

CAPSTONE WEALTH

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPSTONE WEALTH

TRUST BUT VERIFY

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