Thomas C. Carman
ARAX ADVISORY PARTNERS
Houston, TX 77027
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CRD#: 5551638
Thomas Conrad CarmanARAX ADVISORY PARTNERS
Professional summary
Thomas Conrad Carman, CFP®, who also goes by Thomas Carman, is a registered financial advisor currently at ARAX ADVISORY PARTNERS located in Houston, Texas and USCA SECURITIES LLC located in Houston, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Thomas has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Thomas Carman
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. USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; 07/2011; >1 hour/month; 1-8 during trading hours; broker 2. US Capital Wealth Advisors, LLC; Investment-related; Houston, TX; Registered Investment Advisor; financial advisor; 06/2021; >1 hour/month; 1-8 during trading hours; advisor
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Conrad Carman'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®
CFP®
Start date: 2014
Experience
Current
July 14, 2026 - Present
ARAX ADVISORY PARTNERS
Office #1: 4444 Westheimer Road Suite G500, Houston, TX 77027RIA
CRD#: 133535
Houston, TX
Current
November 23, 2011 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027BD
CRD#: 103789
HOUSTON, TX
Past
June 30, 2021 - July 21, 2026
U.S. CAPITAL WEALTH ADVISORS, LLC
RIA
CRD#: 288199
AUSTIN, TX
Past
November 23, 2012 - June 30, 2021
USCA RIA LLC
RIA
CRD#: 152170
HOUSTON, TX
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".
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP | WELLTH PARTNER | U.S. CAPITAL WEALTH ADVISORS | U.S. CAPITAL WEALTH | TRANSCEND CAPITAL ADVISORS | THE OAK GROUP | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SRS CAPITAL ADVISORS | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | OMNI FINANCIAL ADVISORY GROUP | NOVEN FINANCIAL GROUP | NORTE ADVISORS | MILLARES ASSET MANAGEMENT | LOGIX INVESTMENTS | KLEINHENZ & ASSOCIATES | GFP PRIVATE WEALTH | GEORGINA ASSET MANAGEMENT | ENDURING WEALTH PARTNERS | CEDRUS | AVERA CAPITAL WEALTH MANAGEMENT | ARAX WEALTH | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)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.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(2/4/2014)
RR
Alaska(5/8/2018)
RR
Arizona(6/6/2018)
RR
Arkansas(11/23/2012)
RR
California(11/23/2012)
RR
Colorado(11/23/2012)
RR
Florida(11/23/2012)
RR
Georgia(1/9/2014)
RR
Illinois(1/28/2013)
RR
Indiana(3/5/2020)
RR
Kentucky(6/12/2019)
RR
Louisiana(11/23/2012)
RR
Maryland(10/21/2022)
RR
Michigan(3/2/2017)
RR
Mississippi(11/23/2012)
RR
Montana(12/23/2019)
RR
New Jersey(7/7/2022)
RR
New Mexico(2/1/2018)
RR
New York(11/23/2012)
RR
North Carolina(6/7/2018)
RR
Ohio(8/5/2022)
RR
Oklahoma(6/6/2018)
RR
Oregon(6/6/2018)
RR
Pennsylvania(7/3/2023)
RR
South Carolina(6/7/2018)
RR
Tennessee(11/23/2012)
RR
Texas(11/23/2012)
IAR
Texas(7/14/2026)
RR
Virginia(6/6/2018)
RR
Washington(2/16/2022)
RR
West Virginia(5/25/2021)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AA
ARAX ADVISORY PARTNERS
7258 WEALTH MANAGEMENT, INC. | YOUNG WEALTH MANAGEMENT GROUP | WELLTH PARTNER | U.S. CAPITAL WEALTH ADVISORS | U.S. CAPITAL WEALTH | TRANSCEND CAPITAL ADVISORS | THE OAK GROUP | THE DAVIS AGENCY, INC. | SUMMIT WEALTH STRATEGIES | SRS INVESTMENT SERVICES, LLC | SRS CAPITAL ADVISORS, LLC | SRS CAPITAL ADVISORS, INC. | SRS CAPITAL ADVISORS | SIMONDAVIS, INC. | SIMONDAVIS ASSET MANAGEMENT, INC. | SIMONDAVIS ASSET MANAGEMENT | SEAL FINANCIAL SERVICES | SCHECHTER INVESTMENT ADVISORS | OMNI FINANCIAL ADVISORY GROUP | NOVEN FINANCIAL GROUP | NORTE ADVISORS | MILLARES ASSET MANAGEMENT | LOGIX INVESTMENTS | KLEINHENZ & ASSOCIATES | GFP PRIVATE WEALTH | GEORGINA ASSET MANAGEMENT | ENDURING WEALTH PARTNERS | CEDRUS | AVERA CAPITAL WEALTH MANAGEMENT | ARAX WEALTH | ARAX ADVISORY PARTNERS, LLC | ARAX ADVISORY PARTNERS
CRD#: 133535 / SEC#: 801-67165
RIA
Registered Investment Advisory firm - (9/20/2006 Approved)California
Registered Investment Advisory firm - (10/18/2006 Terminated)Colorado
Registered Investment Advisory firm - (11/14/2006 Terminated)Georgia
Registered Investment Advisory firm - (5/24/2012 Terminated)Loading...
Contact information
Main Address
10 East 53rd Street 14th Floor, New York, NY 10022
Mailing Address
Phone number
(646) 777-1823
Established
Firm type
Fiscal year end
# of Employees
361
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 39,138 |
| AUM (Assets Under Management) | $ 26,524,973,206 |
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.
