Thomas K. Warburton

WARBURTON CAPITAL MANAGEMENT

Tulsa, OK 74136

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CRD#: 4802930

Professional summary

Thomas Kent Warburton, who also goes by Thomas K Warburton, Tom Warburton Sr, Tom Warburton, is a registered financial advisor currently at WARBURTON CAPITAL MANAGEMENT, LLC located in Tulsa, Oklahoma.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Thomas has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas K Warburton | Tom Warburton Sr | Tom Warburton

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.

RETAIL NEEDLEPOINT, PRESIDENT- START DATE-01/01/1979, 4HRS/MNTH, 0HRS SPENT DURING SECURITIES HRS- ASSIST IN BOOKKEEPING- MAKE BANK DEPOSITS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Kent Warburton'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

October 27, 2006 - Present

WARBURTON CAPITAL MANAGEMENT, LLC

Office #1: 6120 S Yale Avenue Suite 1010, Tulsa, OK 74136

RIA

CRD#: 141969

Tulsa, OK

Past

August 18, 2006 - August 26, 2008

FIRST CAPITAL MANAGEMENT, L.L.C.

RIA

CRD#: 118087

TULSA, OK

Past

July 1, 2006 - July 11, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

TULSA, OK

Past

September 7, 2004 - September 14, 2006

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

TULSA, OK

Past

July 21, 2004 - July 1, 2006

BANC ONE SECURITIES CORPORATION

CRD#: 16999

TULSA, OK

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".

WARBURTON CAPITAL MANAGEMENT, LLC

CRD#: 141969 / SEC#: 801-78149

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

Kansas

Registered Investment Advisory firm - (6/19/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (6/19/2013 Terminated)

Texas

Registered Investment Advisory firm - (6/19/2013 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.

Highlighted states indicate IAR registrations

IAR

Oklahoma
(10/27/2006)

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: 9/1/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/20/2004

General Securities Representative Examination

Current Firm

WARBURTON CAPITAL MANAGEMENT, LLC

CRD#: 141969 / SEC#: 801-78149

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

Kansas

Registered Investment Advisory firm - (6/19/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (6/19/2013 Terminated)

Texas

Registered Investment Advisory firm - (6/19/2013 Terminated)

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Contact information

Main Address

6120 S Yale Avenue Suite 1010, Tulsa, OK 74136

Mailing Address

Phone number

(918) 794-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ADV PART 2 (2/26/2025)

Regulatory assets under management

Total Number of Accounts	1,226
AUM (Assets Under Management)	$ 701,084,221

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2024	Cover Page	Report

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 K. Warburton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

WARBURTON CAPITAL MANAGEMENT, LLC

FIRST CAPITAL MANAGEMENT, L.L.C.

J.P. MORGAN SECURITIES INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

WARBURTON CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/1/2004

Series 7

Date: 7/20/2004

Current Firm

WARBURTON CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WARBURTON CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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