Thomas J. Brough

CAPITAL TRUST WEALTH MANAGEMENT

Scottsdale, AZ

Some features on this profile are disabled

CRD#: 2403390

Professional summary

Thomas Joseph Brough is a registered financial advisor currently at CAPITAL TRUST WEALTH MANAGEMENT located in Scottsdale, Arizona.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Thomas has worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

A) HEDGE ACCESS GROUP, LLC, TIN 45-5626680 INVESTMENT RELATED, 1927 North Oakley Avenue Chicago, Illinois 60647, RUN THREE (1) POOLED INVESTMENT LIMITED PARTNERSHIPS, MANAGING PARTNER, START DATE 09/01/2012, 10 HRS/MONTH, 150 HRS/MONTH, MANAGE THE BUSINESS. 1) LP HATGF TIN 90-1007963

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Brough'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 18, 2009 - Present

CAPITAL TRUST WEALTH MANAGEMENT

RIA

CRD#: 150860

Scottsdale, AZ

Past

June 15, 2011 - June 5, 2012

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEW YORK, NY

Past

June 27, 2007 - October 9, 2009

WEDBUSH SECURITIES INC.

RIA

CRD#: 877

CHICAGO, IL

Past

June 27, 2007 - October 9, 2009

WEDBUSH SECURITIES INC.

CRD#: 877

CHICAGO, IL

Past

May 9, 2002 - July 13, 2007

BROOKSTREET SECURITIES CORPORATION

RIA

CRD#: 14667

CHICAGO, IL

Past

November 15, 2001 - July 13, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

CHICAGO, IL

Past

October 26, 2001 - November 6, 2001

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

November 18, 1998 - October 1, 2001

EISNER SECURITIES, INC.

CRD#: 40585

ST. LOUIS, MO

Past

March 14, 1997 - October 14, 1998

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

February 28, 1996 - February 6, 1997

BARRON CHASE SECURITIES, INC.

CRD#: 18969

BOCA RATON, FL

Past

November 10, 1995 - December 12, 1995

FAIRCHILD FINANCIAL GROUP, INC.

CRD#: 21404

NEW YORK, NY

Past

March 31, 1995 - November 1, 1995

L.C. WEGARD & CO., INC.

CRD#: 3722

NEW YORK, NY

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

Arizona
(6/23/2017)

IAR

Illinois
(10/14/2009)

IAR

Indiana
(9/18/2009)

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 65

Date: 1/10/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/11/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/2/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/2/1999

General Securities Principal Examination

Current Firm

CAPITAL TRUST WEALTH MANAGEMENT

CRD#: 150860 / SEC#:

Arizona

Registered Investment Advisory firm - (6/23/2017 Approved)

Illinois

Registered Investment Advisory firm - (7/20/2009 Approved)

Indiana

Registered Investment Advisory firm - (7/23/2009 Approved)

Michigan

Registered Investment Advisory firm - (12/11/2023 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Scottsdale, AZ

Mailing Address

Phone number

(480) 566-8737

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	79
AUM (Assets Under Management)	$ 76,300,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas J. Brough

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Brough's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWPORT COAST SECURITIES, INC.

WEDBUSH SECURITIES INC.

WEDBUSH SECURITIES INC.

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

COMMONWEALTH FINANCIAL NETWORK

EISNER SECURITIES, INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

BARRON CHASE SECURITIES, INC.

FAIRCHILD FINANCIAL GROUP, INC.

L.C. WEGARD & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/2001

Series 63

Date: 10/11/1993

Series 7

Date: 10/2/1993

Series 24

Date: 6/2/1999

Current Firm

CAPITAL TRUST WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPITAL TRUST WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors