Thomas Warburton has been Managing Member/Founding Principal of Warburton Capital Management since July 2006, is a control person of the firm and directly owns under 5% of it.
Warburton Capital Management, LLC is a Tulsa, OK firm with $787M under management, 437 clients and 6 advisers in one office, as of its February 2026 filing.
Thomas Warburton’s longest registration was 19 years at Warburton Capital Management, LLC (2006–2025).
- First Capital Management, L.L.C.– · 2 yearsTulsa, OK · Adviser representative · Firm CRD 118087
- JPMorgan Securities Inc– · 2 yearsTulsa, OK · Adviser representative · Firm CRD 16999
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 1 September 2004 |
| Series 7 | General Securities Representative Examination | 20 July 2004 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Kent Warburton
- CRD
- 4802930
- Firm
- Warburton Capital Management · CRD 141969
- Role
- Managing Member/Founding Principal
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Warburton work?
Thomas Warburton has been Managing Member/Founding Principal of Warburton Capital Management, LLC since July 2006, and is a control person of the firm.
Does Thomas Warburton have a current investment-adviser registration?
Thomas Warburton has no current investment-adviser or broker registration.
What exams has Thomas Warburton passed?
Thomas Warburton has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in July 2004.
Where was Thomas Warburton previously registered as an investment adviser?
Thomas Warburton has past investment-adviser registrations through Warburton Capital Management, LLC, October 2006 to December 2025; First Capital Management, L.L.C., August 2006 to August 2008; JPMorgan Securities Inc, September 2004 to September 2006, across 3 firms.
Is Thomas Warburton registered with FINRA?
No. Thomas Warburton has no current broker registration.
How can I verify Thomas Warburton’s record?
Search CRD 4802930 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Warburton’s full registration record.
