Thomas J. Mudge

BAILARD

FOSTER CITY, CA 94404-2131

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CRD#: 1791862

Professional summary

Thomas John Mudge III is a registered financial advisor currently at BAILARD, INC. located in Foster City, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Thomas has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 2 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Mudge 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®

None

Experience

Current

July 25, 2001 - Present

BAILARD, INC.

Office #1: 950 Tower Lane Suite 1900, Foster City, CA 94404-2131

RIA

CRD#: 110550

FOSTER CITY, CA

Past

May 8, 2000 - June 26, 2018

BAILARD FUND SERVICES, INC.

CRD#: 21206

FOSTER CITY, 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".

BAILARD, INC.

CRD#: 110550 / SEC#: 801-8562

RIA

Registered Investment Advisory firm - (3/3/1972 Approved)

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

California
(7/25/2001)

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 66

Date: 5/23/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/5/2000

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 1/4/1988

Non-Member General Securities Examination

Current Firm

BAILARD, INC.

CRD#: 110550 / SEC#: 801-8562

RIA

Registered Investment Advisory firm - (3/3/1972 Approved)

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Contact information

Main Address

950 Tower Ln Ste 1900, Foster City, CA 94404-2131

Mailing Address

Phone number

(650) 571-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAILARD ADV 2A (BROCHURE) (5/30/2025)

Regulatory assets under management

Total Number of Accounts	2,573
AUM (Assets Under Management)	$ 6,538,323,255

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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Thomas J. Mudge

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Mudge III's CRS (Customer Relationship Summary).

Certified licenses

Experience

BAILARD, INC.

BAILARD FUND SERVICES, INC.

Primary Firm SEC Registration

BAILARD, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2000

SIE

Date: 6/26/2018

Series 7

Date: 5/5/2000

Series 2

Date: 1/4/1988

Current Firm

BAILARD, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BAILARD, INC.

TRUST BUT VERIFY

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