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Thomas Lester Irby Ii

CRD# 2761380·Registered 1996 - 2009
Barred: Thomas Lester Irby II was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Thomas Lester Irby II, who also goes by Thomas L (ii) Irby, Tommy Irby, was a registered financial advisor. Thomas was a previously registered financial advisor and started their career in finance 1996 - 2009. Thomas had worked at 4 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Thomas L (ii) Irby, Tommy Irby

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

30 years in the financial services industry

Current & Past Employments

TITAN WEALTH MANAGEMENT, LLC·CRD# 132401
RIA
Plano, TX
August 10, 2004 - December 31, 2009
LEO BROKERAGE, LLC·CRD# 109121
BD
Hurst, TX
August 3, 2004 - December 31, 2005
LOCKEY INVESTMENT GROUP, LLC·CRD# 122091
RIA
Dallas, TX
April 24, 2003 - December 31, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Dallas, TX
August 20, 1996 - April 22, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
August 7, 1996 - April 22, 2003

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Current Firm

No current employment

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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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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 1996About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1996About the Series 63 exam

Series 31 — Futures Managed Funds Examination

Passed Jun 2002About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Aug 1996About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 2004About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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