Thomas Nelson Mccain
Advisor at Round Table Financial — Little Rock, AR
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Credentials
Series 63, Series 65
Experience Industry experience
33 years
Location
Little Rock, AR 72205
Round Table Financial
Supported
Total advisors
3Clients per advisor
9 Very LowAvg AUM per client
$1,751,703 Very HighHNW client ratio
31% TypicalThomas Mccain is a financial advisor at Round Table Financial with 33 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Millennium Capital Advisors LLC. Since 2020, he has been associated with Round Table Services, LLC. Round Table Financial is a registered investment adviser serving individuals, high-net-worth clients, trusts, estates, banks, corporations, and charitable organizations. The firm employs a mix of fundamental, technical, cyclical, and relative strength analysis and offers discretionary portfolio management, financial planning, and third-party sub-adviser selection across approximately $42.6 million in assets under management.
Based on Round Table Financial
Based on Round Table Financial
Annual financial planning and consulting fees generally range between $1,750 and $20,000 per year
up to 2.0% annually
Commission-based compensation for insurance products sold by licensed agents associated with the firm
$150 - $400 per hour for initial financial planning and consulting services
Account minimum: $50,000
Little Rock, AR
3625 Kavanaugh Blvd., Suite A
Little Rock AR 72205
Advisors at this office
3
Arkansas
33 years of industry experience
Round Table Services, LLC
2020 - Present • 6 years
Little Rock, AR
Millennium Capital Advisors LLC
2014 - 2020 • 6 years
Little Rock, AR
Simmons First Capital Management, Inc.
2008 - 2014 • 6 years
Little Rock, AR
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
A formal proceeding by a regulator, such as the SEC, FINRA or a state securities agency, over investment-related rules.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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