Thomas Chase has been an investment adviser representative at Capital Markets IQ since June 2017, and is not listed among the firm’s executive officers or direct owners.
Capital Markets Iq, LLC is a firm with $571M under management, 884 clients and 20 advisers across 19 offices, as of its July 2026 filing.
Thomas Chase’s longest registration is the current one, 9 years at Capital Markets IQ since 2017. Before joining Capital Markets IQ in 2017, Thomas Chase was registered through Kalos Management.
- Capital Markets Iq, LLCCurrent– present · 9 yearsMurfreesboro, TN · Adviser representative · Firm CRD 134921
- Kalos Management– · 1 yearMurfreesboro, TN · Adviser representative · Firm CRD 133025
Investment adviser representative registrations
Thomas Chase is registered as an investment adviser representative in Tennessee, since June 2017.
- TennesseeSince 15 June 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 5 August 2015 |
| Series 7 | General Securities Representative Examination | 5 May 2015 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 September 2014 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 14 August 2014 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Thomas Matthew Chase
- CRD
- 6359561
- Firm
- Capital Markets IQ · CRD 134921
- Office
- Murfreesboro, TN
- Registration
- Investment adviser registration
- In the industry since
- October 2014
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Chase work?
Thomas Chase is an investment adviser representative registered through Capital Markets Iq, LLC since June 2017, and is not listed among the firm’s executive officers or direct owners.
Is Thomas Chase a financial advisor?
Yes. Thomas Chase has a current investment-adviser registration in Tennessee, through Capital Markets IQ since June 2017.
How many years of experience does Thomas Chase have?
Thomas Chase has 12 years in the financial industry, since October 2014, across 2 adviser firms.
What exams has Thomas Chase passed?
Thomas Chase has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in August 2014. FINRA credited Thomas Chase with the SIE, which began in October 2018.
Where did Thomas Chase work before Capital Markets IQ?
Before Capital Markets IQ, Thomas Chase was registered through Kalos Management, August 2015 to June 2017.
Where is Thomas Chase based?
Thomas Chase’s registered office is in Murfreesboro, TN.
Is Thomas Chase registered with FINRA?
No. Thomas Chase has no current broker registration.
How can I verify Thomas Chase’s record?
Search CRD 6359561 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Chase’s full registration record.