Role at Waverly Advisors
- Title on Schedule A
- Chief Compliance Officer
- Control
- Thomas Claud is a control person of Waverly Advisors.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Thomas Claud has held the filed role since July 2026.
The firm
Form ADV filed 31 August 2026
Career on record
Thomas Claud has been registered through Waverly Advisors since May 2026, and before that through Oneascent Family Offices, Oneascent Financial Services LLC, Oneascent Wealth Management and Holland Advisory Services, Inc..
- Waverly Advisors, LLCCurrent– present · under a yearBirmingham, AL · Adviser representative · Firm CRD 115332
- Oneascent Family Offices– · 3 yearsBirmingham, AL · Adviser representative · Firm CRD 323305
- Oneascent Financial Services LLC– · 4 yearsBirmingham, AL · Adviser representative · Firm CRD 284549
- Oneascent Wealth Management– · 4 yearsBirmingham, AL · Adviser representative · Firm CRD 308057
- Passed Series 65 · 2022
- Holland Advisory Services, Inc.– · 1 yearOrmond Beach, FL · Adviser representative · Firm CRD 136302
Registrations and exams
Thomas Claud has a current investment-adviser registration in Alabama and has passed 1 qualifying exam.
| State | Scope | Status | Since |
|---|---|---|---|
| Alabama | Investment adviser representative | Approved | 7 May 2026 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 26 April 2022 |
- Name
- Uniform Investment Adviser Law Examination
Individual record
- Full name
- Thomas James Claud
- CRD
- 6353290
- Registration status
- Investment adviser registration
- Office
- 600 UNIVERSITY PARK PLACE, SUITE 501, Birmingham, AL 35209
- Firm bio
- waverly-advisors.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Thomas James Claud III, presented on Waverly's site as TJ Claud, serves as chief compliance officer. The firm says he joined in April 2026 after 13 years of compliance experience, most recently as CCO for an SEC-registered adviser. Waverly Advisors biography
Education
- BSBA in Finance and Economics, Auburn University; MBA and Juris Doctor, Cumberland School of Law, Samford University.Waverly Advisors biography
Credentials and memberships
- Juris Doctor (JD; listed by Waverly).Waverly Advisors biography
Common questions
Where does Thomas Claud work?
Thomas Claud has been Chief Compliance Officer of Waverly Advisors, LLC since July 2026, and is a control person of the firm.
Is Thomas Claud a financial advisor?
Yes. Thomas Claud has a current investment-adviser registration in Alabama, through Waverly Advisors since May 2026, as of 17 October 2026.
How many years of experience does Thomas Claud have?
Thomas Claud has worked in the financial industry for 5 years as of 17 October 2026, counted from 19 December 2020, across 5 adviser firms.
What exams has Thomas Claud passed?
Thomas Claud passed the Series 65 in April 2022.
Where did Thomas Claud work before Waverly Advisors?
Before Waverly Advisors, Thomas Claud was registered through Oneascent Family Offices, November 2022 to April 2026; Oneascent Financial Services LLC, April 2022 to April 2026; Oneascent Wealth Management, April 2022 to April 2026; Holland Advisory Services, Inc., May 2015 to September 2016.
Where is Thomas Claud based?
Thomas Claud’s registered office is in Birmingham, AL.
Leadership at Waverly Advisors
Justin RussellPresident/Chief Executive Officer
James LazenbyChief Financial Officer
Justin SnellChief Operating Officer
John CoxChief Economist
Brent GunnChief Information Officer
Wayne LesageChief Growth Officer
William McDanielChief Investment Officer