Thomas James Claud Iii
Professional Summary
Thomas James Claud III, who also goes by Tj Claud, is a registered financial advisor currently at WAVERLY ADVISORS, LLC located in Birmingham, Alabama. Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Thomas has worked at 5 firms and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tj Claud
Similar Advisors
OXFORD WEALTH GROUP, LLC
THREE ARCH WEALTH MANAGEMENT LLC
NOOR FINANCIAL SERVICES
UBS FINANCIAL SERVICES INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OXFORD WEALTH GROUP, LLC
THREE ARCH WEALTH MANAGEMENT LLC
NOOR FINANCIAL SERVICES
UBS FINANCIAL SERVICES INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OXFORD WEALTH GROUP, LLC
THREE ARCH WEALTH MANAGEMENT LLC
NOOR FINANCIAL SERVICES
UBS FINANCIAL SERVICES INC.
Disclosures on record.
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
OXFORD WEALTH GROUP, LLC
THREE ARCH WEALTH MANAGEMENT LLC
NOOR FINANCIAL SERVICES
UBS FINANCIAL SERVICES INC.
Years of Experience
6 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
OXFORD WEALTH GROUP, LLC
THREE ARCH WEALTH MANAGEMENT LLC
NOOR FINANCIAL SERVICES
UBS FINANCIAL SERVICES INC.
Current Firm
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 | PROMUS | MCSHANE PARTNERS
Contact Information
Main Address
600 University Park Place Suite 501, Birmingham, AL 35209Phone Number
(205) 871-3334# of Employees
414SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
35,709AUM (Assets Under Management)
$29,872,072,116Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/31/2026 | Cover Page | Report |
| 02/27/2025 | Cover Page | Report |
| 02/16/2024 | Cover Page | Report |
Similar Advisors
OXFORD WEALTH GROUP, LLC
THREE ARCH WEALTH MANAGEMENT LLC
NOOR FINANCIAL SERVICES
UBS FINANCIAL SERVICES INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OXFORD WEALTH GROUP, LLC
THREE ARCH WEALTH MANAGEMENT LLC
NOOR FINANCIAL SERVICES
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
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 | PROMUS | MCSHANE PARTNERS
State Registrations and Notice Filings
(5/7/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
OXFORD WEALTH GROUP, LLC
THREE ARCH WEALTH MANAGEMENT LLC
NOOR FINANCIAL SERVICES
UBS FINANCIAL SERVICES INC.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Claud III's CRS (Customer Relationship Summary).
Similar Advisors
OXFORD WEALTH GROUP, LLC
THREE ARCH WEALTH MANAGEMENT LLC
NOOR FINANCIAL SERVICES
UBS FINANCIAL SERVICES INC.