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TD

Thomas R. Dixon

FOUNDERS M&A ADVISORY
Birmingham, AL 35233
Some features on this profile are disabled
CRD#: 5248559
TD

Professional summary

Thomas Raymond Dixon III, who also goes by Thomas Dixon, is a registered financial professional currently at FOUNDERS M&A ADVISORY, LLC located in Birmingham, Alabama.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2007. Thomas has worked at 2 firms and has passed the Series 63, Series 66, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Dixon

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 Raymond Dixon III'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®
None

Experience

Current

October 7, 2024 - Present

FOUNDERS M&A ADVISORY, LLC

Office #1: 2400 Fifth Avenue South, Suite 100, Birmingham, AL 35233
BD
CRD#: 269926
Birmingham, AL
Past

January 1, 2007 - May 7, 2008

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
MINNEAPOLIS, MN

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
Alabama
(12/2/2024)
RR
Tennessee
(2/13/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/2/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/25/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/7/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/8/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FM
FOUNDERS M&A ADVISORY, LLC
FOUNDERS M&A ADVISORY, LLC

CRD#: 269926 / SEC#: , 8-69638

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

Main Address
2400 Fifth Avenue South, Suite 100, Birmingham, AL 35233
Mailing Address
2400 Fifth Avenue South, Suite 100, Birmingham, AL 35233
Phone number
(205) 949-2043
Established
Alabama since 10/30/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FOUNDERS ADVISORS, LLC (FORMERLY KNOWN AS FOUNDERS INVESTMENT BANKING LLC)OWNER
ALVAREZ, ENRIQUEFINOP4622342
CATES, ERIC OBIE IVCCO6394899
HIRSCH, KENNETH ALANBOARD MEMBER2588742
IRBY, RUSSELL LEE IIIBOARD MEMBER
LEGG, JAMES WESLEYPRESIDENT & CEO6358296
TARENCE, ZANE PBOARD MEMBER5861607

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

FOUNDERS M&A ADVISORY, LLC

CRD#: 269926Birmingham, AL 35233

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