Thomas James Powers
Investment Adviser Representative at California Financial Advisors
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas James Powers is an investment adviser representative with California Financial Advisors in San Ramon, CA, where they have been registered since 1998. They have worked in the securities industry since 1989 and have been registered with 5 firms, including Foothill Securities, Inc. and Financial Telesis Inc. They have passed 7 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in California and Texas.
Office
Advisors at this office: 3
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Maloon, Powers, Pitre & Higgins, LLC DBA CFAJan 1998 – no end date reportedSan Ramon, CA
- Foothill Securities, Inc.Aug 2014 – Nov 2016San Ramon, CA
- LIFE Insurance SalesJan 1989 – no end date reportedSan Ramon, CA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About California Financial Advisors
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $100,000 (waivable)
- $100,000 - $299,9991.20%
- $300,000 - $749,9991.00%
- $750,000 - $1,499,9990.80%
- $1,500,000 - $2,999,9990.70%
+3 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 14
- Offices listed on AdvisorFinder:
- 1
- Main office:
- San Ramon, CA
- SEC file number:
- 801-55273
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of May 26, 2026
View full firm profileOther advisors at California Financial Advisors
Showing 12 of 14 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas James Powers has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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