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TC

Thomas P. Cagle

FROST INVESTMENT SERVICES
Austin, TX 78701
Some features on this profile are disabled
CRD#: 2926609
TC

Professional summary

Thomas P Cagle Jr., who also goes by Thomas P Cagle, Thomas Patrick Cagle Jr, Tom Cagle, Tommy Cagle, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Austin, Texas.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Thomas has worked at 7 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas P Cagle | Thomas Patrick Cagle Jr | Tom Cagle | Tommy Cagle

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas P Cagle 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

October 20, 2022 - Present

FROST INVESTMENT SERVICES

Office #1: 401 Congress Avenue, Suite 1400, Austin, TX 78701
RIA
CRD#: 286129
Austin, TX
Past

August 23, 2019 - December 31, 2021

FROST INVESTMENT SERVICES

RIA
CRD#: 286129
AUSTIN, TX
Past

October 11, 2007 - November 5, 2009

SOUTH TEXAS MONEY MANAGEMENT, LTD.

RIA
CRD#: 112188
AUSTIN, TX
Past

January 9, 2002 - October 19, 2007

UST SECURITIES CORP.

BD
CRD#: 13906
STAMFORD, CT
Past

June 19, 2000 - June 25, 2001

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 12, 1998 - June 28, 2000

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

September 23, 1997 - January 23, 1998

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 23, 1997 - January 23, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
FI
FROST INVESTMENT SERVICES
FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA
Registered Investment Advisory firm - (1/3/2017 Approved)

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
(10/20/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/23/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/19/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/24/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1997
General Securities Representative Examination

Current Firm

FI
FROST INVESTMENT SERVICES
FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA
Registered Investment Advisory firm - (1/3/2017 Approved)
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Contact information

Main Address
111 West Houston Street, San Antonio, TX 78205
Mailing Address
Po Box 2538, San Antonio, TX 78299
Phone number
(210) 220-5000
Established
Firm type
Fiscal year end
# of Employees
177

SEC notice filing (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIS FORM ADV PART 2A 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts3,179
AUM (Assets Under Management)$ 2,976,654,932

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/10/2024
Cover Page
Report
11/27/2023
Cover Page
Report
12/21/2022
Cover Page
Report

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.

Company Information

FROST INVESTMENT SERVICES

CRD#: 286129Austin, TX 78701

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