Thomas M. Wynn

WYNN CAPITAL MANAGEMENT

SANTA CRUZ, CA 95060

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CRD#: 2322640

Professional summary

Thomas Matthew Wynn, who also goes by Thomas M Wynn, is a registered financial advisor currently at WYNN CAPITAL MANAGEMENT, LLC located in Santa Cruz, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Thomas has worked at 1 firm and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas M Wynn

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.

Thomas Wynn is a member of the Angels by the Sea (ABTS) investment group. The business is investment related. ABTS members invests in high risk, early stage start-ups on the Santa Cruz area. Thomas Wynn is a member and has no title. There is no economic relationship to Wynn Capital Management. Thomas Wynn has been a member since August 19, 2016. Thomas Wynn devotes approximately 2 hours per month to ABTS in the form of attending monthly meetings. Thomas Wynn devotes 0 hours to ABTS during securities trading hours. Thomas Wynn has no duties or obligations relating the ABTS and is simply a member.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Matthew Wynn'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®

None

Experience

Current

September 30, 2002 - Present

WYNN CAPITAL MANAGEMENT, LLC

Office #1: 101 Cooper St, Santa Cruz, CA 95060

RIA

CRD#: 119355

SANTA CRUZ, CA

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
(10/1/2009)

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: 2/11/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/5/2002

General Securities Representative Examination

Current Firm

WYNN CAPITAL MANAGEMENT, LLC

CRD#: 119355 / SEC#:

California

Registered Investment Advisory firm - (6/4/2002 Approved)

Florida

Registered Investment Advisory firm - (12/15/2009 Terminated)

Texas

Registered Investment Advisory firm - (6/8/2016 Conditional Restricted)

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

101 Cooper Street, Santa Cruz, CA 95060

Mailing Address

Phone number

(831) 600-7326

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	92
AUM (Assets Under Management)	$ 89,237,383

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 M. Wynn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Matthew Wynn's CRS (Customer Relationship Summary).

Certified licenses

Experience

WYNN CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/11/2002

Series 7

Date: 1/5/2002

Current Firm

WYNN CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WYNN CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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