Thomas Mitchel Marshburn

Current Employers

Capital Markets Iq, Llc

Arlington, TX • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2016-09-20
TX	RA	APPROVED	2016-09-06

IL RA
APPROVED

Since 2016-09-20
TX RA
APPROVED

Since 2016-09-06

Branch Locations

Houston, TX • United States

Arlington, TX • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Capital Markets Iq, Llc	Katy	TX	09/2016	Present

09/2016 → Present

Capital Markets Iq, Llc

Katy, TX

Previous Registrations

2014-12-10 → 2016-08-29

Feltl Advisors

Tampa, FL
2003-11-04 → 2004-12-31

Red Rock Mortgage Management, Lc

Sedona, AZ

Other Businesses

Owner of Red Rock Mortgage Management LLC which holds his personal mortgage-backed securities. He spends less than 10% of his time on this activity per month.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-12-01
S63	Uniform Securities Agent State Law Examination	1992-07-20

S65 Uniform Investment Adviser Law Examination

2014-12-01
S63 Uniform Securities Agent State Law Examination

1992-07-20

Other Names

Tom Marshburn

View on SEC IAPD