Thomas Marshburn has been an investment adviser representative at Capital Markets IQ since September 2016, 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 Marshburn’s longest registration is the current one, 10 years at Capital Markets IQ since 2016. Before joining Capital Markets IQ in 2016, Thomas Marshburn was registered through Feltl Advisors and Red Rock Mortgage Management, LC.
- Capital Markets Iq, LLCCurrent– present · 10 yearsHouston, TX · Adviser representative · Firm CRD 134921
- Feltl Advisors– · 1 yearTampa, FL · Adviser representative · Firm CRD 165244
- Red Rock Mortgage Management, LC– · 1 yearSedona, AZ · Adviser representative · Firm CRD 128020
Investment adviser representative registrations
Thomas Marshburn is registered as an investment adviser representative in 2 states. Each was approved in September 2016.
- IllinoisSince 20 September 2016
- TexasSince 6 September 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 1 December 2014 |
| Series 24 | General Securities Principal Examination | 23 May 2006 |
| Series 30 | NFA Branch Manager Examination | 22 November 2002 |
| Series 3 | National Commodity Futures Examination | 11 November 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 July 1992 |
| Series 7 | General Securities Representative Examination | 9 June 1992 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- NFA Branch Manager Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Mitchel Marshburn
- CRD
- 2239917
- Firm
- Capital Markets IQ · CRD 134921
- Office
- Houston, TX
- Registration
- Investment adviser registration
- In the industry since
- May 1992
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Marshburn work?
Thomas Marshburn is an investment adviser representative registered through Capital Markets Iq, LLC since September 2016, and is not listed among the firm’s executive officers or direct owners.
Is Thomas Marshburn a financial advisor?
Yes. Thomas Marshburn has a current investment-adviser registration in Illinois and Texas, through Capital Markets IQ since September 2016.
How many years of experience does Thomas Marshburn have?
Thomas Marshburn has 34 years in the financial industry, since May 1992, across 3 adviser firms.
What exams has Thomas Marshburn passed?
Thomas Marshburn has passed 6 licensing exams: the Series 7, Series 63, Series 3, Series 30, Series 24 and Series 65. The earliest, the Series 7, was passed in June 1992. FINRA credited Thomas Marshburn with the SIE, which began in October 2018.
Where did Thomas Marshburn work before Capital Markets IQ?
Before Capital Markets IQ, Thomas Marshburn was registered through Feltl Advisors, December 2014 to August 2016; Red Rock Mortgage Management, LC, November 2003 to December 2004.
Where is Thomas Marshburn based?
Thomas Marshburn’s registered office is in Houston, TX.
Is Thomas Marshburn registered with FINRA?
No. Thomas Marshburn has no current broker registration.
How can I verify Thomas Marshburn’s record?
Search CRD 2239917 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Marshburn’s full registration record.