Thomas H. Russell

NARWHAL CAPITAL MANAGEMENT

Marietta, GA 30060

Some features on this profile are disabled

CRD#: 5702624

Professional summary

Thomas H. Russell is a registered financial advisor currently at NARWHAL CAPITAL MANAGEMENT located in Marietta, Georgia.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Thomas has worked at 7 firms and has passed the Series 66, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas H. Russell'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

October 12, 2018 - Present

NARWHAL CAPITAL MANAGEMENT

Office #1: 531 Roselane Street Suite 420, Marietta, GA 30060

RIA

CRD#: 135958

Marietta, GA

Past

September 19, 2017 - October 3, 2018

PEACHCAP TAX & ADVISORY, LLC

RIA

CRD#: 158729

ATLANTA, GA

Past

September 7, 2017 - October 8, 2018

PEACHCAP SECURITIES, INC.

CRD#: 25590

ATLANTA, GA

Past

September 19, 2013 - September 12, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

ATLANTA, GA

Past

September 17, 2013 - September 12, 2017

LPL FINANCIAL LLC

CRD#: 6413

ATLANTA, GA

Past

March 23, 2011 - September 17, 2013

YIELDQUEST ADVISORS, LLC

RIA

CRD#: 132230

ATLANTA, GA

Past

March 18, 2011 - September 17, 2013

YIELDQUEST SECURITIES, LLC

CRD#: 135041

ATLANTA, GA

Past

December 15, 2009 - January 22, 2010

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

ALPHARETTA, GA

Past

October 7, 2009 - January 22, 2010

EQUITABLE ADVISORS, LLC

CRD#: 6627

ALPHARETTA, GA

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".

NARWHAL CAPITAL MANAGEMENT

NARWHAL CAPITAL MANAGEMENT | NARWHAL CAPITAL MANAGMENT, LLC | NARWHAL CAPITAL MANAGMENT, INC.

CRD#: 135958 / SEC#: 801-66563

RIA

Registered Investment Advisory firm - (5/2/2006 Approved)

Georgia

Registered Investment Advisory firm - (3/1/2007 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(10/12/2018)

IAR

Texas
(5/5/2021)

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: 12/8/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/6/2009

General Securities Representative Examination

Current Firm

NARWHAL CAPITAL MANAGEMENT

NARWHAL CAPITAL MANAGEMENT | NARWHAL CAPITAL MANAGMENT, LLC | NARWHAL CAPITAL MANAGMENT, INC.

CRD#: 135958 / SEC#: 801-66563

RIA

Registered Investment Advisory firm - (5/2/2006 Approved)

Georgia

Registered Investment Advisory firm - (3/1/2007 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

531 Roselane Street Suite 420, Marietta, GA 30060

Mailing Address

Phone number

(770) 344-0172

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

09 30 2025 NAR FORM ADV PART 2A AND 2B FINAL (9/30/2025)

Regulatory assets under management

Total Number of Accounts	748
AUM (Assets Under Management)	$ 1,764,568,823

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.

Similar Advisors

Robert Busby

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Atlanta, GA

Tyrane Perry

J.P. MORGAN SECURITIES LLC

IAR

Atlanta, GA

Alexander Paslay

KESTRA ADVISORY SERVICES, LLC

IAR

Woodstock, GA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas H. Russell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PEACHCAP TAX & ADVISORY, LLC

PEACHCAP SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

YIELDQUEST ADVISORS, LLC

YIELDQUEST SECURITIES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

NARWHAL CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 12/8/2009

SIE

Date: 10/1/2018

Series 7

Date: 10/6/2009

Current Firm

NARWHAL CAPITAL MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NARWHAL CAPITAL MANAGEMENT

TRUST BUT VERIFY

Similar Advisors