TB
Thomas W. Brown
CAPITAL MANAGEMENT SERVICES
MANCHESTER, MO 63011
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CRD#: 1984340
TB
Professional summary
Thomas Walter Brown, who also goes by Tom Brown, is a registered financial advisor currently at CAPITAL MANAGEMENT SERVICES, INC. located in Manchester, Missouri.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Thomas has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Brown
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.
FIXED AND EQUITY ANNUTIES WITH VARIOUS COMPANIES, LONG AND SHORT TERM DISABILITY, ANNUITY, HEALTH INSURANCE, LIFE INSURANCE, GROUP DENTAL, UNIVERSAL LIFE, COMMISSIONS, AGENT. I SPEND APPROXIMATELY 4 HOURS PER WEEK ON THESE ACTIVITIES.
1/1/2011 - COLLEGE FUNDING SOLUTIONS - 86 B LOST DUTCHMAN DR, ST PETERS, MO 63371 - ASSISTS HIGH SCHOOL JUNIORS & SENIORS TO SELECT APPROPRIATE COLLEGES & CAREERS - NOT INVESTMENT RELATED - 5 HRS/MON
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Walter Brown's 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®
NoneExperience
Current
February 14, 2020 - Present
CAPITAL MANAGEMENT SERVICES, INC.
Office #1: 410 Sovereign Ct. Suite 13, Manchester, MO 63011RIA
CRD#: 118260
MANCHESTER, MO
Past
March 25, 2008 - January 29, 2020
WORLD EQUITY GROUP, INC.
RIA
CRD#: 29087
St. Peters, MO
Past
December 21, 2007 - January 29, 2020
WORLD EQUITY GROUP, INC.
BD
CRD#: 29087
ST. PETERS, MO
Past
December 1, 2006 - December 18, 2007
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
ST PETERS, MO
Past
July 28, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
ST PETERS, MO
Past
November 4, 2002 - July 14, 2004
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
April 12, 2002 - August 19, 2002
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
July 2, 1996 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
January 15, 1993 - June 5, 1996
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
April 6, 1990 - December 31, 1992
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
September 7, 1989 - April 16, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
September 7, 1989 - April 16, 1990
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
CM
CAPITAL MANAGEMENT SERVICES, INC.
CAPITAL MANAGEMENT SERVICES, INC. | RETIREMENT PLANNING SPECIALISTS | OSTLUND WEALTH MANAGEMENT | HTTPS://WWW.LINKEDIN.COM/IN/IRA-RICK-RICHARDSON | HTTPS://IRARICHARDSON.FREEDOMEQUITYGROUP.COM/ | GROVE WEALTH ADVISORS | CMS CAPITAL MANAGEMENT SERVICES
CRD#: 118260 / SEC#: 801-117988
RIA
Registered Investment Advisory firm - (1/21/2020 Approved)California
Registered Investment Advisory firm - (2/23/2020 Terminated)Florida
Registered Investment Advisory firm - (1/24/2020 Terminated)Georgia
Registered Investment Advisory firm - (2/21/2020 Terminated)Kansas
Registered Investment Advisory firm - (1/24/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/24/2020 Terminated)Texas
Registered Investment Advisory firm - (1/24/2020 Terminated)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
Missouri(2/14/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CM
CAPITAL MANAGEMENT SERVICES, INC.
CAPITAL MANAGEMENT SERVICES, INC. | RETIREMENT PLANNING SPECIALISTS | OSTLUND WEALTH MANAGEMENT | HTTPS://WWW.LINKEDIN.COM/IN/IRA-RICK-RICHARDSON | HTTPS://IRARICHARDSON.FREEDOMEQUITYGROUP.COM/ | GROVE WEALTH ADVISORS | CMS CAPITAL MANAGEMENT SERVICES
CRD#: 118260 / SEC#: 801-117988
RIA
Registered Investment Advisory firm - (1/21/2020 Approved)California
Registered Investment Advisory firm - (2/23/2020 Terminated)Florida
Registered Investment Advisory firm - (1/24/2020 Terminated)Georgia
Registered Investment Advisory firm - (2/21/2020 Terminated)Kansas
Registered Investment Advisory firm - (1/24/2020 Terminated)Missouri
Registered Investment Advisory firm - (1/24/2020 Terminated)Texas
Registered Investment Advisory firm - (1/24/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
410 Sovereign Ct. Suite 13, Manchester, MO 63011
Mailing Address
Phone number
(636) 207-5829
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 608 |
| AUM (Assets Under Management) | $ 141,700,000 |
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.
Company Information
CAPITAL MANAGEMENT SERVICES, INC.
CRD#: 118260Manchester, MO 63011TRUST BUT VERIFY
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