Thomas R. Austin

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CRD#: 4852880

Professional summary

Being a previously registered professional could mean that this person 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.

Thomas Ryan Austin was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2004. Thomas had worked at 9 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 29, 2015 - November 30, 2018

MCDERMOTT INVESTMENT ADVISORS, LLC

RIA

CRD#: 132221

FORT MYERS, FL

Past

July 7, 2015 - November 30, 2018

MCDERMOTT INVESTMENT SERVICES, LLC

CRD#: 154926

Fort Myers, FL

Past

January 14, 2014 - June 16, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

CAPE CORAL, FL

Past

January 9, 2014 - June 16, 2015

LPL FINANCIAL LLC

CRD#: 6413

CAPE CORAL, FL

Past

August 22, 2012 - December 18, 2013

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

FORT MYERS, FL

Past

August 21, 2012 - December 18, 2013

EQUITABLE ADVISORS, LLC

CRD#: 6627

FORT MYERS, FL

Past

September 19, 2007 - August 16, 2012

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

VENICE, FL

Past

September 18, 2007 - August 16, 2012

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

VENICE, FL

Past

July 27, 2006 - September 19, 2007

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

FORT MYERS BEACH, FL

Past

July 19, 2006 - September 19, 2007

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

FORT MYERS BEACH, FL

Past

April 22, 2005 - February 22, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

FT. MYERS, FL

Past

April 11, 2005 - February 22, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 29, 2004 - March 24, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

FORT MYERS, FL

Past

November 26, 2004 - March 24, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 26, 2004 - March 24, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 11/2/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/19/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/24/2004

General Securities Representative Examination

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

Thomas R. Austin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MCDERMOTT INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MCDERMOTT INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/2/2004

SIE

Date: 10/1/2018

Series 31

Date: 5/19/2005

Series 7

Date: 11/24/2004

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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