Thomas E. Meade
Professional summary
Thomas Earl Meade was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial advisor and started their career in finance in 1969. Prior to being barred, Thomas had worked at 10 firms, which includes SOUTHSTATE PRIVATE CAPITAL MANAGEMENT LLC, PRIVATE CAPITAL MANAGEMENT INC., CETERA ADVISORS LLC, MUTUAL SERVICE CORPORATION, HANIFEN IMHOFF INC., FIDELITY BROKERAGE SERVICES LLC, WELLS FARGO CLEARING SERVICES LLC, BOETTCHER & COMPANY INC., A. G. EDWARDS & SONS INC., DEAN WITTER & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2014 - May 8, 2015
SOUTHSTATE PRIVATE CAPITAL MANAGEMENT LLC
June 11, 2002 - January 22, 2013
PRIVATE CAPITAL MANAGEMENT INC.
January 1, 1999 - December 31, 2012
PRIVATE CAPITAL MANAGEMENT INC.
April 14, 1998 - May 16, 2000
CETERA ADVISORS LLC
February 11, 1998 - April 14, 1998
MUTUAL SERVICE CORPORATION
May 9, 1995 - April 9, 1996
HANIFEN, IMHOFF INC.
February 27, 1992 - June 11, 1993
FIDELITY BROKERAGE SERVICES LLC
September 4, 1990 - January 6, 1992
WELLS FARGO CLEARING SERVICES, LLC
May 16, 1988 - September 4, 1990
BOETTCHER & COMPANY, INC.
March 22, 1972 - April 27, 1988
A. G. EDWARDS & SONS, INC.
December 9, 1969 - May 1, 1972
DEAN WITTER & CO. INCORPORATED
Primary Firm SEC Registration
SOUTHSTATE PRIVATE CAPITAL MANAGEMENT LLC
CRD#: 165306 / SEC#: 801-77650
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 12/13/1985
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 8/23/1977
AMEX Put and Call ExamSeries 1
Date: 11/28/1969
Registered Representative ExaminationSeries 40
Date: 9/13/1974
Registered Principal ExaminationCurrent Firm
SOUTHSTATE PRIVATE CAPITAL MANAGEMENT LLC
CRD#: 165306 / SEC#: 801-77650
Contact information
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,583 |
| AUM (Assets Under Management) | $ 4,956,973,083 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2025 | ||
| 12/26/2024 | ||
| 01/29/2024 | ||
| 06/22/2023 |
Red Flags
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