Thomas R. Davies

DAVIES WEALTH MANAGEMENT LLC

POMPANO BEACH, FL 33062

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CRD#: 4331298

Professional summary

Thomas Robert Davies, who also goes by Thomas R Davies, is a registered financial advisor currently at DAVIES WEALTH MANAGEMENT LLC located in Pompano Beach, Florida.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Thomas has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas R Davies

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.

BANK ATLANTIC CENTER COMMUNICATIONS CONTROLLER. 0 HOURS DURING TRADING HOURS 10 HOURS PER WEEK NON INVESTMENT RELATED FLORIDA PANTHERS, SUNRISE FL; HOCKEY. COMMUNICATION/COMMAND POST. PRIVATE BUSINESS NO SHARES HELD. PAID BI-WEEKLY. STARTED IN 10/2005 AND WORK 25 HOURS OUTSIDE OF OFFICE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Robert Davies's 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 5, 2009 - Present

DAVIES WEALTH MANAGEMENT LLC

Office #1: 1600 South Federal Highway Suite 901, Pompano Beach, FL 33062

RIA

CRD#: 151098

POMPANO BEACH, FL

Past

July 8, 2008 - May 29, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

FT. LAUDERDALE, FL

Past

July 7, 2008 - May 29, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

FT. LAUDERDALE, FL

Past

July 3, 2007 - March 4, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WESTON, FL

Past

August 5, 2004 - March 4, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WESTON, FL

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

Florida
(10/5/2009)

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 66

Date: 6/30/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/4/2004

General Securities Representative Examination

Current Firm

DAVIES WEALTH MANAGEMENT LLC

CRD#: 151098 / SEC#:

Florida

Registered Investment Advisory firm - (10/5/2009 Approved)

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Contact information

Main Address

684 Se Monterey Road, Stuart, FL 34994

Mailing Address

Phone number

(954) 353-6198

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	118
AUM (Assets Under Management)	$ 15,190,530

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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Thomas R. Davies

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Robert Davies's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAVIES WEALTH MANAGEMENT LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2007

Series 7

Date: 8/4/2004

Current Firm

DAVIES WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DAVIES WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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