Thomas McCain (CRD# 1130813) is an Investment Advisor Representative working at Round Table Financial in Little Rock, AR and has over 40 years of experience in the finance industry.
CRD# 1465724
Bok Financial Advisors
CRD# 4358121
Stifel, Nicolaus & Company, Incorporated
CRD# 4717379
Raymond James Financial Services Advisors, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Round Table Services, LLC | Little Rock, AR | Nov 2020 - Current | 3 |
| Millennium Capital Advisors LLC | Little Rock, AR | Dec 2014 - Nov 2020 | 5 |
| Simmons First Capital Management, Inc. | Little Rock, AR | Oct 2014 - Dec 2014 | < 1 |
| Metropolitan Capital Management | Little Rock, AR | Oct 2007 - Oct 2014 | 7 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jun 1983 |
| S65 | NASAA Investment Advisors Law Examination | Oct 2008 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site-
Total Assets Under Management36MILLIONS
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Total Number of Accounts73ACCOUNTS
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Average Account Value$496,423
- A percentage of assets under your management
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AR
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