Thomas Mitchel Marshburn JR | Financial Professional | Dallas, Texas

Professional summary

Thomas Mitchel Marshburn JR, who also goes by Tom Marshburn, is a registered financial advisor currently at CAPITAL MARKETS IQ, LLC located in Dallas, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Thomas has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Marshburn

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.

Owner of Red Rock Mortgage Management LLC which holds his personal mortgage-backed securities. He spends less than 10% of his time on this activity per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Mitchel Marshburn 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

September 6, 2016 - Present

CAPITAL MARKETS IQ, LLC

RIA

CRD#: 134921

Dallas, TX

Past

August 1, 2016 - August 2, 2016

FELTL & COMPANY

BD

CRD#: 6905

PLYMOUTH, MN

Past

December 10, 2014 - August 29, 2016

FELTL ADVISORS

RIA

CRD#: 165244

TAMPA, FL

Past

April 29, 2014 - July 25, 2016

FELTL & COMPANY

BD

CRD#: 6905

PLYMOUTH, MN

Past

August 12, 2013 - May 28, 2014

HALEN CAPITAL

BD

CRD#: 135966

CLEARWATER, FL

Past

July 8, 2010 - September 27, 2013

FINTEGRA, LLC

BD

CRD#: 16741

TAMPA, FL

Past

February 20, 2004 - July 14, 2010

CHICAGO INVESTMENT GROUP, LLC

BD

CRD#: 11853

TAMPA, FL

Past

November 4, 2003 - December 31, 2004

RED ROCK MORTGAGE MANAGEMENT, LC

RIA

CRD#: 128020

SEDONA, AZ

Past

October 15, 2002 - February 20, 2004

PEREGRINE FINANCIALS & SECURITIES, INC.

BD

CRD#: 43992

CHICAGO, IL

Past

September 20, 2002 - October 16, 2002

ETICO PARTNERS, LLC

BD

CRD#: 122481

SARATOGA SPRINGS, NY

Past

January 17, 1995 - September 20, 2002

M. J. WHITMAN, INC.

BD

CRD#: 27870

NEW YORK, NY

Past

June 11, 1992 - January 26, 1995

GSC SECURITIES, INC.

BD

CRD#: 17013

Past

May 7, 1992 - January 26, 1995

GOVERNMENT SECURITIES CORPORATION

BD

CRD#: 19698

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 MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 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

Illinois
(9/20/2016)

IAR

Texas
(9/6/2016)

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: 12/1/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 7/20/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 8/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 3

Date: 11/11/2002

National Commodity Futures Examination

General Industry/Product Exam

RR

Series 7

Date: 6/9/1992

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 5/23/2006

General Securities Principal Examination

Principal/Supervisory Exam

RR

Series 30

Date: 11/22/2002

NFA Branch Manager Examination

Current Firm

CM

CAPITAL MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 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).

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Contact information

Main Address

Arlington, TX

Mailing Address

2810 N Church St Pmb 52811, Wilmington, DE 19802

Phone number

(310) 882-6380

Established

Firm type

Fiscal year end

# of Employees

26

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE MARCH 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	827
AUM (Assets Under Management)	$ 450,873,705

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
01/28/2025	Cover Page	Report
08/22/2023	Cover Page	Report

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

Thomas M. Marshburn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Mitchel Marshburn JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

FELTL & COMPANY

FELTL ADVISORS

FELTL & COMPANY

HALEN CAPITAL

FINTEGRA, LLC

CHICAGO INVESTMENT GROUP, LLC

RED ROCK MORTGAGE MANAGEMENT, LC

PEREGRINE FINANCIALS & SECURITIES, INC.

ETICO PARTNERS, LLC

M. J. WHITMAN, INC.

GSC SECURITIES, INC.

GOVERNMENT SECURITIES CORPORATION

Primary Firm SEC Registration

CAPITAL MARKETS IQ, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/2014

Series 63

Date: 7/20/1992

SIE

Date: 8/2/2016

Series 3

Date: 11/11/2002

Series 7

Date: 6/9/1992

Series 24

Date: 5/23/2006

Series 30

Date: 11/22/2002

Current Firm

CAPITAL MARKETS IQ, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL MARKETS IQ, LLC

TRUST BUT VERIFY

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