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Scott Eldridge Thomas Mr

CRD# 445425·Registered 1973 - 2011
Previously Registered: Being a previously registered professional could mean that Scott 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.

Professional Summary

Scott Eldridge Thomas MR, who also goes by Scott Eldridge Thomas, was a registered financial advisor. Scott was a previously registered financial advisor and started their career in finance 1973 - 2011. Scott had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 5, Series 1, Series 4 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

Scott Eldridge Thomas

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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

53 years in the financial services industry

Current & Past Employments

FIRST CAPITAL MANAGEMENT, L.L.C.·CRD# 118087
RIA
Tulsa, OK
November 27, 2006 - November 8, 2011
S. C. COSTA COMPANY, INC.·CRD# 7044
BD
Tulsa, OK
April 7, 1992 - January 29, 1997
PATTERSON ICENOGLE, INC.·CRD# 15652
BD
February 4, 1985 - November 30, 1987
HOUCHIN, ADAMSON & CO., INC.·CRD# 8313
BD
May 16, 1984 - May 16, 1985
S. C. COSTA COMPANY, INC.·CRD# 7044
BD
September 27, 1979 - May 11, 1984
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
November 1, 1973 - February 25, 1979

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Current Firm

FC
FIRST CAPITAL MANAGEMENT, L.L.C.

FIRST CAPITAL MANAGEMENT, L.L.C. | FIRST CAPITAL MANAGEMENT, LLC

CRD#: 118087

Contact Information

Main Address

321 South Boston Ave Suite 201, Tulsa, OK 74103

Documents

Latest Form ADV

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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 Oct 2006About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1992About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1992About the Series 7 exam

Series 5 — Interest Rate Options Examination

Passed Oct 1981

Series 1 — Registered Representative Examination

Passed Oct 1973

Series 4 — Registered Options Principal Examination

Passed Mar 1992About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Nov 1980About 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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