TM
Thomas J. Mudlaff
UNITED BROKERAGE SERVICES,
Washington, DC 20036
Some features on this profile are disabled
CRD#: 2359466
TM
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Mudlaff
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.
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).
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
December 11, 2017 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 1100 Connecticut Ave, Washington, DC 20036Office #2: 2071 Chain Bridge Road, Vienna, VA 22182RIA
BD
CRD#: 39062
Washington, DC
Current
December 11, 2017 - Present
UNITED BROKERAGE SERVICES, INC
Office #1: 1100 Connecticut Ave, Washington, DC 20036Office #2: 2071 Chain Bridge Road, Vienna, VA 22182RIA
BD
CRD#: 39062
Washington, DC
Past
January 28, 2015 - July 5, 2017
CAPITAL ONE ADVISORS, LLC
RIA
CRD#: 136865
SEATTLE, WA
Past
January 2, 2015 - July 5, 2017
CAPITAL ONE INVESTING, LLC
BD
CRD#: 45744
WILMINGTON, DE
Past
April 27, 2010 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
RIA
CRD#: 127236
MELVILLE, NY
Past
April 27, 2010 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
MCLEAN, VA
Past
November 5, 2004 - May 7, 2010
CHEVY CHASE FINANCIAL SERVICES
RIA
CRD#: 14894
BETHESDA, MD
Past
July 8, 2004 - May 1, 2010
CHEVY CHASE FINANCIAL SERVICES
BD
CRD#: 14894
BETHESDA, MD
Past
July 17, 2000 - July 2, 2004
BACAP DISTRIBUTORS, LLC
BD
CRD#: 46088
CHARLOTTE, NC
Past
June 4, 1993 - January 24, 2000
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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".
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
RR
Alabama(6/1/2020)
IAR
Alabama(6/2/2020)
RR
Arizona(7/9/2020)
RR
California(5/6/2020)
RR
Colorado(7/9/2020)
RR
Delaware(6/1/2020)
RR
District of Columbia(4/23/2020)
IAR
District of Columbia(4/30/2020)
RR
Florida(5/6/2020)
IAR
Florida(5/7/2020)
RR
Georgia(5/6/2020)
RR
Hawaii(6/1/2020)
IAR
Hawaii(10/23/2020)
RR
Illinois(6/29/2020)
RR
Indiana(6/29/2020)
RR
Kentucky(5/6/2020)
IAR
Kentucky(5/8/2020)
RR
Louisiana(6/29/2020)
RR
Maine(6/29/2020)
RR
Maryland(12/11/2017)
IAR
Maryland(12/11/2017)
RR
Massachusetts(5/6/2020)
RR
Michigan(7/9/2020)
RR
Minnesota(1/28/2022)
RR
Mississippi(7/21/2020)
RR
Missouri(4/22/2020)
RR
Nevada(7/21/2020)
RR
New Jersey(6/1/2020)
IAR
New Jersey(6/1/2020)
RR
New Mexico(7/21/2020)
RR
New York(6/1/2020)
RR
North Carolina(4/23/2020)
IAR
North Carolina(4/24/2020)
RR
Ohio(4/23/2020)
IAR
Ohio(4/23/2020)
RR
Oklahoma(7/21/2020)
RR
Pennsylvania(4/23/2020)
IAR
Pennsylvania(4/24/2020)
RR
Puerto Rico(9/29/2022)
RR
South Carolina(4/23/2020)
IAR
South Carolina(4/23/2020)
RR
South Dakota(5/16/2024)
RR
Tennessee(5/6/2020)
RR
Texas(6/1/2020)
IAR
Texas(6/1/2020)
RR
Virginia(2/6/2019)
IAR
Virginia(2/6/2019)
RR
Washington(7/21/2020)
RR
West Virginia(4/23/2020)
IAR
West Virginia(4/27/2020)
RR
Wisconsin(7/9/2020)
RR
Wyoming(7/9/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC
CRD#: 39062 / SEC#: 801-80804, 8-48685
RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
514 Market Street, Parkersburg, WV 26101
Mailing Address
P. O. Box 1508, Parkersburg, WV 26102-1508
Phone number
(888) 424-6158
Established
West Virginia since 04/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
101
SEC notice filing (17 States and Territories)
FINRA licenses (46 States and Territories)
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 | 1,889 |
| AUM (Assets Under Management) | $ 389,130,559 |
Disclosures
| Bond | 1 |
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.
