Thomas James Mudlaff
Professional Summary
Thomas James Mudlaff, who also goes by Tom Mudlaff, is a registered financial advisor currently at UNITED BROKERAGE SERVICES, INC located in Washington, District Of Columbia. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Mudlaff
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
Contact Information
Main Address
514 Market Street, Parkersburg, WV 26101Mailing Address
P. O. Box 1508, Parkersburg, WV 26102-1508Phone Number
(888) 424-6158Established
West Virginia since 04/24/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
95SEC notice filing (18 States and Territories)
Registered to provide investment advisory services in 18 US states and territories.
FINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 18 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED ASSET MANAGEMENT CORP. | OWNER | — |
| ADAMS, RICHARD MATTHEW JR | CHAIRMAN OF THE BOARD/DIRECTOR | 2656091 |
| BOARD, ANGIE MARIE | FINOP | 6464533 |
| EARL, MICHEAL LEN | CHIEF COMPLIANCE OFFICER | 4266715 |
| GURTIS, JULIE RITCHIE | DIRECTOR | — |
| HUMPHREY, MATTHEW LEE | CHIEF EXECUTIVE OFFICER/DIRECTOR | 5943475 |
| MOCK, DONALD FREDERICK | DIRECTOR | 5059205 |
| MUDLAFF, THOMAS JAMES | CHIEF OPERATIONS OFFICER | 2359466 |
| REYNOLDS, FRANK KEVIN | DIRECTOR | 5731814 |
| SHAVER, AMI LEE | DIRECTOR | 2771684 |
Regulatory Assets Under Management
Total Number of Accounts
1,390AUM (Assets Under Management)
$372,273,451Disclosures
Bond
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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.
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Primary Firm SEC Registration
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
State Registrations and Notice Filings
(6/1/2020)
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1993About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Mudlaff's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas James Mudlaff's CRS (Customer Relationship Summary).
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