Thomas D. Porter

Some features on this profile are disabled

CRD#: 721537

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas David Porter was a registered financial advisor .

Thomas is a previously registered financial advisor and started their career in finance in 1980. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 22, 2010 - November 10, 2015

CRESCENT ADVISOR GROUP, INC.

RIA

CRD#: 115974

PLANO, TX

Past

March 18, 2004 - November 30, 2016

CRESCENT SECURITIES GROUP, INC.

CRD#: 114993

AUSTIN, TX

Past

September 19, 2002 - October 3, 2003

CHOICE INVESTMENTS, INC.

RIA

CRD#: 17665

AUSTIN, TX

Past

August 10, 1989 - October 3, 2003

CHOICE INVESTMENTS, INC.

CRD#: 17665

AUSTIN, TX

Past

March 13, 1987 - August 14, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

January 20, 1983 - January 30, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

December 22, 1980 - January 31, 1983

SCHNEIDER, BERNET & HICKMAN, INC.

CRD#: 750

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".

CRESCENT ADVISOR GROUP, INC.

CRD#: 115974 / SEC#: 801-127131

RIA

Registered Investment Advisory firm - (1/5/2023 Approved)

California

Registered Investment Advisory firm - (2/8/2023 Terminated)

Florida

Registered Investment Advisory firm - (1/9/2023 Terminated)

Illinois

Registered Investment Advisory firm - (1/9/2023 Terminated)

Indiana

Registered Investment Advisory firm - (1/10/2023 Terminated)

Texas

Registered Investment Advisory firm - (1/9/2023 Terminated)

Virginia

Registered Investment Advisory firm - (12/10/2013 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 12/23/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/30/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/6/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 12/20/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/2001

General Securities Principal Examination

Current Firm

CRESCENT ADVISOR GROUP, INC.

CRD#: 115974 / SEC#: 801-127131

RIA

Registered Investment Advisory firm - (1/5/2023 Approved)

California

Registered Investment Advisory firm - (2/8/2023 Terminated)

Florida

Registered Investment Advisory firm - (1/9/2023 Terminated)

Illinois

Registered Investment Advisory firm - (1/9/2023 Terminated)

Indiana

Registered Investment Advisory firm - (1/10/2023 Terminated)

Texas

Registered Investment Advisory firm - (1/9/2023 Terminated)

Virginia

Registered Investment Advisory firm - (12/10/2013 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

4975 Preston Park Blvd. Suite 820, Plano, TX 75093

Mailing Address

Phone number

(972) 490-0150

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EVAUL 2024 (12/26/2024)

HARRELL 2024 (12/26/2024)

HILL 2024 (12/26/2024)

HAST 2024 (12/26/2024)

LANZA 2024 (12/26/2024)

PHELAN 2024 (12/26/2024)

DUREN 2024 (12/26/2024)

CAG BROCHURE 12-26-24 (12/26/2024)

CELUCH 2024 (12/26/2024)

BOLT 2024 (12/26/2024)

ADKISSON (12/26/2024)

CASTLE 2024 (12/26/2024)

DIMAGGIO 2024 (12/26/2024)

TRAVIS 2024 (12/26/2024)

Regulatory assets under management

Total Number of Accounts	467
AUM (Assets Under Management)	$ 282,987,504

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas D. Porter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CRESCENT SECURITIES GROUP, INC.

CHOICE INVESTMENTS, INC.

CHOICE INVESTMENTS, INC.

THOMSON MCKINNON SECURITIES INC.

UBS FINANCIAL SERVICES INC.

SCHNEIDER, BERNET & HICKMAN, INC.

Primary Firm SEC Registration

CRESCENT ADVISOR GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/23/1980

SIE

Date: 11/30/2016

Series 5

Date: 10/6/1981

Series 7

Date: 12/20/1980

Series 24

Date: 5/2/2001

Current Firm

CRESCENT ADVISOR GROUP, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CRESCENT ADVISOR GROUP, INC.

TRUST BUT VERIFY

Similar Advisors