Thomas B. Sanchez

NAMCOA

SUGARLAND, TX

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CRD#: 2437504

Professional summary

Thomas B Sanchez JR, who also goes by Thomas Bernard Sanchez Jr, is a registered financial advisor currently at NAMCOA located in Sugarland, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Thomas has worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Bernard Sanchez Jr

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.

Administrative Director, Protocol Research at MD Anderson, 1400 Holcombe Blvd., Houston, TX 77030. NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas B Sanchez 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

January 17, 2014 - Present

NAMCOA

RIA

CRD#: 133978

SUGARLAND, TX

Past

June 11, 2010 - November 15, 2012

NAMCOA

RIA

CRD#: 133978

MOORESVILLE, NC

Past

July 10, 2008 - December 20, 2013

MSC - BD, LLC

CRD#: 142927

SUGARLAND, TX

Past

December 8, 2006 - June 12, 2008

SECURITIES NETWORK LLC

CRD#: 133785

AUSTIN, TX

Past

February 23, 2005 - November 17, 2006

GREENBRIAR FINANCIAL SERVICES, INC.

RIA

CRD#: 114399

HOUSTON, TX

Past

September 17, 2001 - November 28, 2006

LPL FINANCIAL LLC

RIA

CRD#: 6413

HOUSTON, TX

Past

September 17, 2001 - November 28, 2006

LPL FINANCIAL LLC

CRD#: 6413

HOUSTON, TX

Past

September 6, 2001 - September 18, 2001

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

DALLAS, TX

Past

August 21, 1998 - August 9, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 15, 1994 - August 25, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

NAMCOA

CRD#: 133978 / SEC#: 801-66945

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Florida

Registered Investment Advisory firm - (11/20/2006 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

Texas
(1/17/2014)

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: 1/17/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/14/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/18/2002

General Securities Principal Examination

Current Firm

NAMCOA

CRD#: 133978 / SEC#: 801-66945

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Florida

Registered Investment Advisory firm - (11/20/2006 Terminated)

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Contact information

Main Address

107 Kilson Drive Suite 206, Mooresville, NC 28117

Mailing Address

999 Vanderbilt Beach Road Suite 200, Naples, FL 34108

Phone number

(239) 593-5525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (7/31/2025)

ADV WRAP BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts	462
AUM (Assets Under Management)	$ 312,332,592

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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Firm Stability Insights

Thomas B. Sanchez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas B Sanchez JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

NAMCOA

MSC - BD, LLC

SECURITIES NETWORK LLC

GREENBRIAR FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MOMENTUM INDEPENDENT NETWORK INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

NAMCOA

State Registrations and Notice Filings

Exams

Series 65

Date: 1/17/1995

Series 63

Date: 4/22/1994

Series 7

Date: 3/14/1994

Series 24

Date: 1/18/2002

Current Firm

NAMCOA

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NAMCOA

TRUST BUT VERIFY

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