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TC

Thomas E. Coleman

STONECREST CAPITAL MARKETS
AUSTIN, TX 78701
Some features on this profile are disabled
CRD#: 4981577
TC

Professional summary

Thomas E Coleman is a registered financial professional currently at STONECREST CAPITAL MARKETS, INC. located in Austin, Texas.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2006. Thomas has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Thomas E Coleman'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

March 26, 2020 - Present

STONECREST CAPITAL MARKETS, INC.

Office #1: 300 W. 6th Street Suite 1550, Austin, TX 78701
BD
CRD#: 39616
AUSTIN, TX
Past

November 6, 2017 - November 6, 2018

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NY, NY
Past

December 5, 2016 - November 6, 2017

STORMHARBOUR SECURITIES LP

BD
CRD#: 35997
NEW YORK, NY
Past

April 4, 2016 - December 8, 2016

MOSAIC CAPITAL, LLC

BD
CRD#: 171587
NEW YORK, NY
Past

November 1, 2010 - May 3, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 28, 2010 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

September 28, 2006 - June 5, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Rhode Island
(10/16/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/8/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
STONECREST CAPITAL MARKETS, INC.
REDWINE & COMPANY, INC. | STONECREST PARTNERS | STONECREST CAPITAL MARKETS, INC.

CRD#: 39616 / SEC#: , 8-48754

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
300 W. 6th St. Suite 1550, Austin, TX 78701
Mailing Address
300 W. 6th St. Suite 1550, Austin, TX 78701
Phone number
(512) 275-6515
Established
North Carolina since 10/20/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STONECREST HOLDINGS, LLCPARENT COMPANY
HEFFRON, PAULA KAYCHIEF COMPLIANCE OFFICER4901921
JONES, DAVID BENNETT JRCHIEF OPERATING OFFICER4915605
KRIEWALD, JESSICAFINOP7052634
RANDOLPH, JOHN SCOTTCHIEF EXECUTIVE OFFICER1848519
WEIBEL, DAVIDDIRECTOR5688056

Disclosures

Regulatory Event5

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.

Company Information

STONECREST CAPITAL MARKETS, INC.

CRD#: 39616Austin, TX 78701

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