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Thomas Clyde Davis

CRD# 852642·Registered 1994 - 2012
Previously Registered: Being a previously registered professional could mean that Thomas 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.

Professional Summary

Thomas Clyde Davis was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1994 - 2012. Thomas had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

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.

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Years of Experience

48 years in the financial services industry

Current & Past Employments

BLUFFVIEW CAPITAL, LP·CRD# 120563
RIA
Dallas, TX
October 6, 2008 - December 31, 2012
BLUFFVIEW CAPITAL, LP·CRD# 120563
BD
Dallas, TX
August 14, 2002 - May 29, 2012
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
November 3, 2000 - August 17, 2001
PERSHING LLC·CRD# 7560
BD
Jersey City, NJ
November 28, 1994 - August 17, 2001

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Current Firm

BC
BLUFFVIEW CAPITAL, LP

BLUFFVIEW CAPITAL, LP

CRD#: 120563 / SEC#: 8-65314
BD
Terminated by SEC on 05/29/2012

Contact Information

Established

Texas since 12/20/2001

Firm Type

Partnership

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BLUFFVIEW HOLDINGS, LPLIMITED PARTNER—
BLUFFVIEW ADVISORS, LLCGENERAL PARTNER—
DAVIS, THOMAS CLYDECHAIRMAN, CEO, CCO852642
STERLING, DONALD WILLIAMFINANCIAL PRINCIPAL1192425

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1995About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed May 1978About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 1995About the Series 24 exam

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CRS (Client Relationship Summary)

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

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