Thomas E. Porter

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CRD#: 4084057

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Edward Porter, who also goes by Tom Porter, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Porter

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)

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

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

Past

October 1, 2013 - March 6, 2015

NAMCOA

RIA

CRD#: 133978

GAINESVILLE,

Past

December 10, 2007 - July 15, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

GAINESVILLE, FL

Past

September 25, 2007 - July 15, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

GAINESVILLE, FL

Past

June 8, 2005 - September 17, 2007

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

GAINESVILLE, FL

Past

April 26, 2004 - June 7, 2005

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

Past

October 1, 2000 - April 1, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GAINESVILLE, FL

Past

October 1, 2000 - April 1, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

December 17, 1999 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/18/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/23/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/23/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/16/1999

Investment Company Products/Variable Contracts Representative 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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Advisor Monitoring

Firm Stability Insights

Thomas E. Porter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BBVA COMPASS INVESTMENT SOLUTIONS, INC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

NAMCOA

State Registrations and Notice Filings

Exams

Series 65

Date: 8/18/2013

Series 63

Date: 12/23/1999

Series 7

Date: 6/23/2004

Series 6

Date: 12/16/1999

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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