Thomas G. Coleman

PREFERRED CLIENT GROUP

Dallas, TX 75205

Some features on this profile are disabled

CRD#: 1981721

Professional summary

Thomas Gabriel Coleman JR is a registered financial professional currently at PREFERRED CLIENT GROUP, INC. located in Dallas, Texas.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 28 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Thomas Gabriel Coleman JR'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

February 9, 2021 - Present

PREFERRED CLIENT GROUP, INC.

Office #1: 3707 Dartmouth, Dallas, TX 75205

CRD#: 48008

Dallas, TX

Past

October 19, 2009 - April 22, 2020

ALLIANCE FINANCIAL GROUP, INC.

CRD#: 28538

DALLAS, TX

Past

September 6, 2005 - January 4, 2008

UPSTREAM CAPITAL PARTNERS, LP

CRD#: 135335

IRVING, TX

Past

August 1, 2005 - April 23, 2021

WWK INVESTMENTS, INC.

CRD#: 25184

NORTHVILLE, MI

Past

July 14, 2005 - July 28, 2011

ASPEN EQUITY PARTNERS, LLC

CRD#: 104035

DALLAS, TX

Past

January 5, 2005 - October 24, 2007

TEXLARK SECURITIES, LLC

CRD#: 132226

PLANO, TX

Past

October 26, 2004 - September 27, 2006

PROVIDENT ASSET MANAGEMENT, LLC

CRD#: 128642

DALLAS, TX

Past

January 9, 2004 - December 31, 2007

WORTH FINANCIAL GROUP INC.

CRD#: 13478

DALLAS, TX

Past

December 9, 1999 - December 31, 2003

OXFORD FINANCIAL GROUP

CRD#: 40700

HOUSTON, TX

Past

February 17, 1994 - December 31, 1999

RUSHMORE SECURITIES CORPORATION

CRD#: 8392

DALLAS, TX

Past

August 22, 1989 - February 17, 1994

WATERFORD CAPITAL, INC.

CRD#: 21687

ADDISON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Texas
(2/9/2021)

Exams

State Security Law Exam

Series 63

Date: 8/25/1989

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 7

Date: 8/19/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 10/7/2003

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/30/1996

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

PREFERRED CLIENT GROUP, INC.

CRD#: 48008 / SEC#: , 8-52005

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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

3707 Dartmouth, Dallas, TX 75205

Mailing Address

3707 Dartmouth, Dallas, TX 75205

Phone number

(214) 520-0832

Established

Texas since 06/28/1999

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GABERINO, JAMES DAVID	PRESIDENT/SECRETARY/DIRECTOR/SROP/FINOP/CCO	216141

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.

Similar Advisors

David Alvarez

EDWARD JONES

IAR

Grapevine, TX

Kenneth Hopkins

ORION WEALTH MANAGEMENT LLC

IAR

Garland, TX

Jonathan Meaney

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

IAR

DALLAS, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas G. Coleman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Gabriel Coleman JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANCE FINANCIAL GROUP, INC.

UPSTREAM CAPITAL PARTNERS, LP

WWK INVESTMENTS, INC.

ASPEN EQUITY PARTNERS, LLC

TEXLARK SECURITIES, LLC

PROVIDENT ASSET MANAGEMENT, LLC

WORTH FINANCIAL GROUP INC.

OXFORD FINANCIAL GROUP

RUSHMORE SECURITIES CORPORATION

WATERFORD CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/25/1989

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/19/1989

Series 28

Date: 10/7/2003

Series 4

Date: 1/30/1996

FINRA

Current Firm

PREFERRED CLIENT GROUP, INC.

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PREFERRED CLIENT GROUP, INC.

TRUST BUT VERIFY

Similar Advisors