Thomas Mccabe

ALLIANCE WEALTH MANAGEMENT GROUP

Flemington, NJ 08822

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CRD#: 5353175

Professional summary

Thomas Mccabe is a registered financial advisor currently at ALLIANCE WEALTH MANAGEMENT GROUP, LLC located in Flemington, New Jersey and PURSHE KAPLAN STERLING INVESTMENTS located in Flemington, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Thomas has worked at 5 firms and has passed the Series 66, Series 99TO, SIE and Series 7 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) Rider University- Not investment related-Lawrenceville, NJ-Education-Adjunct Professor-1/1/2019-8 hrs/mth-0 during trading hrs-Teach accounting. 2) ALLIANCE WEALTH MANAGEMENT GROUP. Investment Related. 23 royal Road, Suite 101, Flemington NJ. RIA. CPA. 200 hours per month, 162 during trading. Member/Registered Admin. Help with Tax Planning. 3) ALLIANCE WORLDWIDE. Not Investment Related. 1506 Westover Road, Yardley PA. Holding Company. CEO. Start 9/2021. 15 hours per month, 2 during trading. Advise companies how to grow businesses. 4) Sugar Hill Capital. Not Investment Related. 1506 Westover Road, Yardley PA. Holding Company. Owner. Start 11/2016. 5 hours per month not during trading. Holding company for personal assets to limit risk exposure.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Mccabe'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

May 16, 2017 - Present

ALLIANCE WEALTH MANAGEMENT GROUP, LLC

Office #1: 23 Royal Road Suite 101, Flemington, NJ 08822

RIA

CRD#: 169573

Flemington, NJ

Current

September 29, 2014 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 23 Royal Road Suite 101, Flemington, NJ 08822

CRD#: 35747

Flemington, NJ

Past

November 14, 2011 - September 12, 2014

TRIAD ADVISORS LLC

CRD#: 25803

FLEMINGTON, NJ

Past

May 12, 2009 - November 29, 2011

LPL FINANCIAL LLC

CRD#: 6413

FLEMINGTON, NJ

Past

December 19, 2007 - March 30, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

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".

ALLIANCE WEALTH MANAGEMENT GROUP, LLC

ALLIANCE WEALTH MANAGEMENT GROUP, LLC | LAURA ADVISORS, LLC

CRD#: 169573 / SEC#: 801-78935

RIA

Registered Investment Advisory firm - (1/8/2014 Approved)

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

New Jersey
(9/29/2014)

IAR

New Jersey
(7/5/2017)

Pennsylvania
(11/25/2014)

IAR

Texas
(5/16/2017)

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: 9/3/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLIANCE WEALTH MANAGEMENT GROUP, LLC

ALLIANCE WEALTH MANAGEMENT GROUP, LLC | LAURA ADVISORS, LLC

CRD#: 169573 / SEC#: 801-78935

RIA

Registered Investment Advisory firm - (1/8/2014 Approved)

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Contact information

Main Address

23 Royal Road Suite 101, Flemington, NJ 08822

Mailing Address

Phone number

(908) 751-7090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,137
AUM (Assets Under Management)	$ 424,154,401

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 Mccabe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

TRIAD ADVISORS LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ALLIANCE WEALTH MANAGEMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/3/1999

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/18/2007

FINRA

Current Firm

ALLIANCE WEALTH MANAGEMENT GROUP, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLIANCE WEALTH MANAGEMENT GROUP, LLC

TRUST BUT VERIFY

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