Thomas H. Whitby

MISSION WEALTH MANAGEMENT, LP

Houston, TX 77063

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CRD#: 1771469

Professional summary

Thomas Howard Whitby III, CFP®, who also goes by Toby Whitby, is a registered financial advisor currently at MISSION WEALTH MANAGEMENT, LP located in Houston, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Thomas has worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Estate Planning

Comprehensive Financial Planni...

Retirement Planning

Education Planning

Investment Planning

Insurance Planning

Divorce Planning

Are you a "fiduciary"?

Yes

Aliases

Toby Whitby

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.

APPOINTED WITH VARIOUS LIFE INSURANCE AND ANNUITY COMPANIES; 07/07/2002

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Howard Whitby III'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®

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Current

January 28, 2025 - Present

MISSION WEALTH MANAGEMENT, LP

Office #1: 7500 San Felipe St. Suite 150, Houston, TX 77063

RIA

CRD#: 113057

Houston, TX

Past

February 8, 2006 - March 11, 2025

LOGIC CAPITAL MANAGEMENT, LLC

RIA

CRD#: 137902

HOUSTON, TX

Past

June 14, 2002 - June 14, 2002

HOUSTON ADVISORS

RIA

CRD#: 119704

HOUSTON, TX

Past

March 14, 1996 - February 10, 2006

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

March 4, 1996 - February 10, 2006

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, 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".

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 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

Texas
(1/28/2025)

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

Series 63

Date: 1/29/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/1/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/18/1997

General Securities Principal Examination

Current Firm

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

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Contact information

Main Address

1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 882-2360

Established

Firm type

Fiscal year end

# of Employees

145

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A - FIRM BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts	12,456
AUM (Assets Under Management)	$ 10,024,060,630

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

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Advisor Monitoring

Firm Stability Insights

Thomas H. Whitby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Howard Whitby III's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOGIC CAPITAL MANAGEMENT, LLC

HOUSTON ADVISORS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

MISSION WEALTH MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 63

Date: 1/29/1996

Series 7

Date: 3/1/1996

Series 24

Date: 8/18/1997

Current Firm

MISSION WEALTH MANAGEMENT, LP

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MISSION WEALTH MANAGEMENT, LP

TRUST BUT VERIFY

Contact information

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