TB
Thomas W. Brown
WAVERLY ADVISORS
AUSTIN, TX 78759
Some features on this profile are disabled
CRD#: 5781471
TB
Professional summary
Thomas William Brown, who also goes by Tom Brown, is a registered financial advisor currently at WAVERLY ADVISORS, LLC located in Austin, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Thomas has worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Brown
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.
SILICON HILLS TECHNOLOGIES, LLC, BUSINESS IS NOT INVESTMENT-RELATED, 8834 N CAPITAL OF TEXAS HWY #200, AUSTIN, TX 78759, SOFTWARE DEVELOPMENT SERVICES, MANAGING MEMBER - ADMINISTRATION, OPERATIONS & ACCOUNTING. SOME STRATEGIC CONSULTING TO THE DEVELOPMENT TEAM THAT ARE ALL PART-TIME CONTRACTORS, START DATE - 6/1/2021, 10 HOURS PER MONTH, 0 HOURS PER MONTH DURING TRADING HOURS,
CRS (Client Relationship Summary) - RIA
Click below to view Thomas William Brown'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®
NoneExperience
Current
July 14, 2023 - Present
WAVERLY ADVISORS, LLC
Office #1: 8834 N Capital Of Texas Hwy #200, Austin, TX 78759RIA
CRD#: 115332
AUSTIN, TX
Past
January 14, 2013 - August 17, 2023
SILICON HILLS WEALTH MANAGEMENT
RIA
CRD#: 166030
AUSTIN, TX
Past
June 15, 2010 - March 25, 2013
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
AUSTIN, TX
Past
May 13, 2010 - March 25, 2013
FSC SECURITIES CORPORATION
BD
CRD#: 7461
AUSTIN, 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".
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 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.Highlighted states indicate IAR registrations
IAR
California(7/14/2023)
IAR
Texas(7/14/2023)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
600 University Park Place Suite 501, Birmingham, AL 35209
Mailing Address
Phone number
(205) 871-3334
Established
Firm type
Fiscal year end
# of Employees
371
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 34,313 |
| AUM (Assets Under Management) | $ 28,263,743,199 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 02/16/2024 | ||
| 06/15/2023 |
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.
