Thomas Anthony Davis | Financial Professional | Kingsport, Tennessee

Professional summary

Thomas Anthony Davis, who also goes by Thomas A Davis, is a registered financial advisor currently at CL WEALTH MANAGEMENT LLC located in Kingsport, Tennessee and CABOT LODGE SECURITIES LLC located in Kingsport, Tennessee.

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 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas A Davis

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) Thomas Davis--eBay account, ?Kingsport, TN, Mr. Davis has an eBay account through which he sell articles, almost entirely of clothing, from his own home, no position, 1/2016, 2 hours per month, zero hours during trading hours, Mr. Davis list items and then ships them if they sell. 2) Thomas A. Davis, not investment related, fixed insurance (life and annuity), Kingsport, TN, Agent, 9/2019, one (1) hour per month, one (1) hour during trading hours, assess client needs for various protection or income products, make recommendations suitable to their goals, risk tolerance, time horizon and preferences, and process paperwork and other requirements to place the policies.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Anthony Davis'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

June 3, 2021 - Present

CL WEALTH MANAGEMENT LLC

RIA

CRD#: 134922

Kingsport, TN

Current

September 24, 2019 - Present

CABOT LODGE SECURITIES LLC

BD

CRD#: 159712

Kingsport, TN

Past

January 15, 2021 - June 15, 2021

SB ADVISORY, LLC

RIA

CRD#: 154680

Johnson City, TN

Past

March 4, 2020 - December 31, 2020

SB ADVISORY, LLC

RIA

CRD#: 154680

Johnson City, TN

Past

July 5, 2019 - September 25, 2019

IFS SECURITIES

BD

CRD#: 40375

ATLANTA, GA

Past

March 18, 2013 - April 25, 2019

EDWARD JONES

RIA

CRD#: 250

ELIZABETHTON, TN

Past

December 19, 2012 - April 25, 2019

EDWARD JONES

BD

CRD#: 250

ELIZABETHTON, TN

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".

CW

CL WEALTH MANAGEMENT LLC

CRD#: 134922 / SEC#: 801-72701

RIA

Registered Investment Advisory firm - (10/4/2011 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2009 Terminated)

Colorado

Registered Investment Advisory firm - (11/4/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/13/2012 Terminated)

Florida

Registered Investment Advisory firm - (10/6/2011 Terminated)

Georgia

Registered Investment Advisory firm - (10/12/2011 Terminated)

Illinois

Registered Investment Advisory firm - (10/4/2011 Terminated)

Iowa

Registered Investment Advisory firm - (10/6/2011 Terminated)

Maryland

Registered Investment Advisory firm - (10/19/2011 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2009 Terminated)

Virginia

Registered Investment Advisory firm - (10/17/2011 Terminated)

West Virginia

Registered Investment Advisory firm - (10/6/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/6/2011 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.

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

Georgia
(5/11/2020)

IAR

Georgia
(6/4/2021)

IAR

Nevada
(10/8/2021)

RR

Nevada
(11/1/2021)

RR

South Carolina
(7/3/2024)

IAR

South Carolina
(7/3/2024)

RR

Tennessee
(9/25/2019)

IAR

Tennessee
(6/3/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 1/4/2013

Uniform Combined State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 12/18/2012

General Securities Representative Examination

SRO Registrations

RR

FINRA

Current Firm

CW

CL WEALTH MANAGEMENT LLC

CRD#: 134922 / SEC#: 801-72701

RIA

Registered Investment Advisory firm - (10/4/2011 Approved)

Arizona

Registered Investment Advisory firm - (12/31/2009 Terminated)

Colorado

Registered Investment Advisory firm - (11/4/2011 Terminated)

Connecticut

Registered Investment Advisory firm - (1/13/2012 Terminated)

Florida

Registered Investment Advisory firm - (10/6/2011 Terminated)

Georgia

Registered Investment Advisory firm - (10/12/2011 Terminated)

Illinois

Registered Investment Advisory firm - (10/4/2011 Terminated)

Iowa

Registered Investment Advisory firm - (10/6/2011 Terminated)

Maryland

Registered Investment Advisory firm - (10/19/2011 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (12/31/2009 Terminated)

Virginia

Registered Investment Advisory firm - (10/17/2011 Terminated)

West Virginia

Registered Investment Advisory firm - (10/6/2011 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/6/2011 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).

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Contact information

Main Address

425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173

Mailing Address

Phone number

(212) 388-6200

Established

Firm type

Fiscal year end

# of Employees

42

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 2-25-25 (2/25/2025)

Regulatory assets under management

Total Number of Accounts	2,073
AUM (Assets Under Management)	$ 628,729,517

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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Advisor Monitoring

Firm Stability Insights

Thomas A. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CABOT LODGE SECURITIES LLC

SB ADVISORY, LLC

SB ADVISORY, LLC

IFS SECURITIES

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CL WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/4/2013

SIE

Date: 10/1/2018

Series 7

Date: 12/18/2012

FINRA

Current Firm

CL WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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