Troy Thomas

MCDERMOTT INVESTMENT ADVISORS

Huntington Beach, CA 92648

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CRD#: 4691720

Professional summary

Troy Thomas is a registered financial advisor currently at MCDERMOTT INVESTMENT ADVISORS, LLC located in Huntington Beach, California and MCDERMOTT INVESTMENT SERVICES, LLC located in Huntington Beach, California.

Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Troy has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.) CMS; 2375 CAMELBACK ROAD, SUITE 500, PHOENIX, AZ 85016; NOT INVESTMENT-RELATED; INDEPENDENT CONTRACTOR; FIRM IS INVOLVED IN LOAN NEGOTIATIONS, SALES AND PROPERTY MANAGEMENT; DUTIES INCLUDE REFERRING PROPERTY OWNERS WHO ARE INTERESTED IN NEGOTIATING THEIR LOAN TERMS AND/OR PROPERTY SALES; DEVOTE 5 HRS/MO TO THIS ACTIVITY. 2.) IPA; NEWPORT BEACH, CA; NOT INVESTMENT-RELATED; MANAGING MEMBER; FIRM IS AN LLC USED AS A TRADE NAME FOR SECURITIES BUSINESS - ALL SECURITIES ARE TRANSACTED THROUGH A BROKER DEALER; DEVOTE 1 HR/MO TO THIS ACTIVITY. 3.) CALDENVER, LLC; 101 MAIN ST, SUITE 260, HUNTINGTON BEACH, CA 92648; NOT INVESTMENT-RELATED; FIRM OWNS RENTAL PROPERTIES, PROPERTY MANAGEMENT; DEVOTE 5 HR/MO TO THIS ACTIVITY. 4.) TMR THOMAS, INC; 101 MAIN ST, SUITE 260, HUNTINGTON BEACH, CA 92648; NOT INVESTMENT-RELATED; FIRM IS AN S-CORP USED FOR REAL ESTATE INVESTMENTS AND EXPENSES, PROPERTY MANAGEMENT; DEVOTE 5 HR/MO TO THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

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

April 24, 2013 - Present

MCDERMOTT INVESTMENT ADVISORS, LLC

Office #1: 101 Main Street Suite 260, Huntington Beach, CA 92648

RIA

CRD#: 132221

Huntington Beach, CA

Current

December 19, 2012 - Present

MCDERMOTT INVESTMENT SERVICES, LLC

Office #1: 101 Main Street Suite 260, Huntington Beach, CA 92648

CRD#: 154926

Huntington Beach, CA

Past

July 8, 2009 - December 6, 2012

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

ORANGE, CA

Past

July 8, 2009 - December 6, 2012

CENTAURUS FINANCIAL, INC.

CRD#: 30833

ORANGE, CA

Past

November 19, 2004 - July 9, 2009

DIRECT CAPITAL SECURITIES, INC.

CRD#: 29639

SANTA ANA, CA

Past

August 13, 2003 - December 15, 2004

MCL FINANCIAL GROUP, INC.

CRD#: 41180

SANTA ANA, CA

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".

MCDERMOTT INVESTMENT ADVISORS, LLC

CRD#: 132221 / SEC#: 801-79404

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

California

Registered Investment Advisory firm - (5/7/2014 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2014 Terminated)

Maine

Registered Investment Advisory firm - (4/7/2014 Terminated)

Nevada

Registered Investment Advisory firm - (10/6/2006 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/7/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (4/7/2014 Terminated)

New York

Registered Investment Advisory firm - (4/7/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/8/2014 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(7/19/2013)

Alaska
(8/22/2013)

Arizona
(6/25/2013)

Arkansas
(7/15/2013)

California
(12/19/2012)

IAR

California
(4/24/2013)

Colorado
(6/17/2013)

Connecticut
(6/18/2013)

Delaware
(6/17/2013)

District of Columbia
(6/25/2013)

Florida
(6/17/2013)

Georgia
(6/17/2013)

Hawaii
(10/21/2013)

Idaho
(6/13/2013)

Illinois
(6/21/2013)

Indiana
(7/18/2013)

Iowa
(7/24/2013)

Kansas
(7/23/2013)

Kentucky
(8/29/2013)

Louisiana
(6/24/2013)

Maine
(6/18/2013)

Maryland
(6/17/2013)

Massachusetts
(1/4/2013)

Michigan
(7/31/2013)

Minnesota
(6/27/2013)

Mississippi
(6/26/2013)

Missouri
(9/25/2013)

Montana
(9/4/2013)

Nebraska
(6/18/2013)

Nevada
(6/26/2013)

New Hampshire
(6/14/2013)

New Jersey
(12/19/2012)

New Mexico
(8/15/2013)

New York
(9/17/2013)

North Carolina
(6/17/2013)

North Dakota
(7/23/2013)

Ohio
(7/8/2013)

Oklahoma
(6/18/2013)

Oregon
(6/18/2013)

Pennsylvania
(6/17/2013)

Rhode Island
(6/17/2013)

South Carolina
(8/1/2013)

South Dakota
(7/18/2013)

Tennessee
(9/30/2020)

Texas
(7/2/2013)

Utah
(7/18/2013)

Vermont
(9/27/2013)

Virginia
(6/14/2013)

Washington
(6/17/2013)

West Virginia
(10/10/2013)

Wisconsin
(6/17/2013)

Wyoming
(7/12/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/21/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/8/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MCDERMOTT INVESTMENT ADVISORS, LLC

CRD#: 132221 / SEC#: 801-79404

RIA

Registered Investment Advisory firm - (4/4/2014 Approved)

California

Registered Investment Advisory firm - (5/7/2014 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2014 Terminated)

Maine

Registered Investment Advisory firm - (4/7/2014 Terminated)

Nevada

Registered Investment Advisory firm - (10/6/2006 Terminated)

New Hampshire

Registered Investment Advisory firm - (4/7/2014 Terminated)

New Jersey

Registered Investment Advisory firm - (4/7/2014 Terminated)

New York

Registered Investment Advisory firm - (4/7/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/8/2014 Terminated)

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Contact information

Main Address

780 Fifth Avenue South Suite 200, Naples, FL 34102

Mailing Address

P.o. Box 1889, Bethlehem, PA 18016-1889

Phone number

(610) 882-1460

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCDERMOTT INVESTMENT ADVISORS, LLC FORM ADV PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	709
AUM (Assets Under Management)	$ 211,048,107

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

Troy Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MCDERMOTT INVESTMENT SERVICES, LLC

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

DIRECT CAPITAL SECURITIES, INC.

MCL FINANCIAL GROUP, INC.

Primary Firm SEC Registration

MCDERMOTT INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/21/2003

SIE

Date: 10/1/2018

Series 7

Date: 8/12/2003

Series 24

Date: 9/8/2014

FINRA

Current Firm

MCDERMOTT INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCDERMOTT INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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