TP
Thomas L. Pusser
CAPITAL CITIES INVESTMENTS
RICHMOND, VA 23229
Some features on this profile are disabled
CRD#: 4687904
TP
Professional summary
Thomas Louis Pusser, who also goes by Thomas L Passer, Thomas L Pusser Mr., Tommy Pusser, is a registered financial advisor currently at CAPITAL CITIES INVESTMENTS located in Richmond, Virginia and SILVER OAK SECURITIES, INCORPORATED located in Richmond, Virginia.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Thomas has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas L Passer | Thomas L Pusser Mr. | Tommy Pusser
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.
1) "Capital Cities Investments, Ltd.",Is Investment Related,"8100 Three Chopt Rd, Suite 104, Richmond, VA, 23229, United States",S-corp established for liabilityprotection,President,2007-06-01,1 hours per month,0 hours per month during trading hours,No Compensation Compensation,"CAPITAL CITIES INVESTMENTS LTD;INVESTMENT RELATED; 6720 PATTERSON AVE. RICHMOND, VA 23226; S-CORP EST. FOR LIABILITY PROTECTION; PRESIDENT; 2009; <1 HR/MONTH; NONE/DAY; NOCOMPENSATION; ADMINISTRATIVE DUTIES REQUIRED TO MAINTAIN S-CORP WITH THE STATE OF VA." 2) Thomas Pusser Insurance,Is Not Investment Related,"8100 ThreeChopt Rd, Suite 104, Richmond, VA, 23229, United States","RESEARCH, PROPOSE AND SELL LIFE AND LTC INSURANCE AS PART OF CLIENTS FINANCIAL PLAN",Sales andService,2003-06-16,20 hours per month,0 hours per month during trading hours,Commission Compensation,"APPOINTMENT WITH MULTIPLE INSURANCE CARRIERS;NON- INVESTMENT RELATED; 6720 PATTERSON AVE. RICHMOND, VA 23226; LTC AND LIFE INSURANCE; AGENT; 7/2003; 20-30 HRS/MONTH; 1-1.5 HRS/DAY;COMPENSATION-COMMISSIONS; RESEARCH, PROPOSE AND SELL LIFE AND LTC INSURANCE AS PART OF CLIENTS FINANCIAL PLAN." 3) Capital Cities Investments,IsInvestment Related,"8100 Three Chopt Road, Suite 104, Richmond, VA, 23229, United States",Independent RIA,IAR,2005-03-11,5 hours per month,1 hours per monthduring trading hours,Fee Based Compensation,IAR of an independent RIA
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Louis Pusser'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®
NoneExperience
Current
May 6, 2005 - Present
CAPITAL CITIES INVESTMENTS
Office #1: 8100 Three Chopt Rd. Suite 104, Richmond, VA 23229RIA
CRD#: 116185
RICHMOND, VA
Current
November 3, 2023 - Present
SILVER OAK SECURITIES, INCORPORATED
Office #1: 8100 Three Chopt Rd. Ste. 104, Richmond, VA 23229RIA
BD
CRD#: 46947
Richmond, VA
Past
March 31, 2005 - November 2, 2023
TRIAD ADVISORS LLC
BD
CRD#: 25803
RICHMOND, VA
Past
October 7, 2003 - April 1, 2005
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
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".
CC
CAPITAL CITIES INVESTMENTS
CAPITAL CITIES INVESTMENTS
CRD#: 116185 / SEC#: 801-69504
RIA
Registered Investment Advisory firm - (8/27/2008 Approved)Florida
Registered Investment Advisory firm - (8/27/2008 Terminated)Indiana
Registered Investment Advisory firm - (8/27/2008 Terminated)Massachusetts
Registered Investment Advisory firm - (9/10/2008 Terminated)Vermont
Registered Investment Advisory firm - (8/27/2008 Terminated)Virginia
Registered Investment Advisory firm - (8/27/2008 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/13/2023)
RR
California(11/3/2023)
RR
Florida(11/6/2023)
RR
New York(11/8/2023)
RR
North Carolina(11/7/2023)
RR
Ohio(11/3/2023)
RR
Pennsylvania(11/7/2023)
RR
South Carolina(11/13/2023)
RR
Texas(11/5/2023)
IAR
Virginia(5/6/2005)
RR
Virginia(11/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CC
CAPITAL CITIES INVESTMENTS
CAPITAL CITIES INVESTMENTS
CRD#: 116185 / SEC#: 801-69504
RIA
Registered Investment Advisory firm - (8/27/2008 Approved)Florida
Registered Investment Advisory firm - (8/27/2008 Terminated)Indiana
Registered Investment Advisory firm - (8/27/2008 Terminated)Massachusetts
Registered Investment Advisory firm - (9/10/2008 Terminated)Vermont
Registered Investment Advisory firm - (8/27/2008 Terminated)Virginia
Registered Investment Advisory firm - (8/27/2008 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
426 East New York Street, Indianapolis, IN 46202
Mailing Address
Phone number
(317) 475-4500
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,319 |
| AUM (Assets Under Management) | $ 251,443,578 |
Red Flags
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Company Information
CAPITAL CITIES INVESTMENTS
CRD#: 116185Richmond, VA 23229TRUST BUT VERIFY
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