ST
Steven J. Thomas
SGL FINANCIAL
Buffalo Grove, IL 60089
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CRD#: 1274392
ST
Professional summary
Steven James Thomas is a registered financial advisor currently at SGL FINANCIAL, LLC located in Buffalo Grove, Illinois.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Steven has worked at 3 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Steven James Thomas's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 7, 2014 - Present
SGL FINANCIAL, LLC
Office #1: 1130 W Lake Cook Road Suite 150, Buffalo Grove, IL 60089RIA
CRD#: 158023
Buffalo Grove, IL
Past
May 3, 2000 - December 5, 2003
VARIABLE INVESTMENT ASSOCIATES, INC.
BD
CRD#: 44412
TEA, SD
Past
July 11, 1984 - June 23, 1998
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SF
SGL FINANCIAL, LLC
ARGALLUS FINANCIAL | WITT FINANCIAL GROUP | WELL BEING FINANCIAL GROUP | WEALTH FINANCIAL GROUP WEST, INC. | WEALTH FINANCIAL GROUP | WEALTH FINANCIAL ADVISORY SERVICES, LLC | WEALTH FINANCIAL ADVISORY SERVICES LLC | WEALTH FINANCIAL ADVISORY SERVICES | TAMPA BAY ADVISORY, LLC | SUMMIT FINANCIAL GROUP OF TN | STANDARD CAPITAL FINANCIAL | SLOANE FINANCIAL SERVICES | SGL FINANCIAL, LLC | SCOTT TUCKER SOLUTIONS | SAFE MONEY RETIREMENT STRATEGIES | ROGERS TAX ADVISORY | PHELAN FINANCIAL SOLUTIONS | NORTHLAND FINANCIAL | MOORE FINANCIAL CONCEPTS | MC2 WEALTH MANAGEMENT | MAINSAIL WEALTH MANAGEMENT | JC FINANCIAL EDUCATORS | JARVIS LAW FIRM | INTELLECTUAL BUSINESS SOLUTIONS | GEURIN WEALTH MANAGEMENT | FLIESS FINANCIAL SERVICES, LLC | FIRST STATE FINANCIAL PLANNERS | FINANCIAL RESOURCES GROUP | FELTS FINANCIAL SERVICES | ESTATE AND WEALTH MANAGEMENT | DUELL WEALTH MANAGEMENT | DR. HAROLD WONG & ASSOCIATES | DIVECHA FINANCIAL, LLC | DEDICATED SENIOR ADVISORS | DEDICATED FINANCIAL SERVICES, LLC | CREW AND LLOYD | COWEN TAX ADVISORY GROUP | CHROBAK ADVISORY GROUP | BROWN FINANCIAL GROUP | BOWERS AND ASSOCIATES, LLC | BLUE AND GRAY FINANCIAL | BETTER LIFE FINANCIAL, LLC | AUSTIN FIRST FINANCIAL
CRD#: 158023 / SEC#: 801-96223
RIA
Registered Investment Advisory firm - (5/29/2015 Approved)Arizona
Registered Investment Advisory firm - (5/29/2015 Terminated)Arkansas
Registered Investment Advisory firm - (5/29/2015 Terminated)California
Registered Investment Advisory firm - (6/28/2015 Terminated)Colorado
Registered Investment Advisory firm - (6/19/2015 Terminated)Connecticut
Registered Investment Advisory firm - (6/1/2015 Terminated)Florida
Registered Investment Advisory firm - (5/29/2015 Terminated)Illinois
Registered Investment Advisory firm - (5/29/2015 Terminated)Iowa
Registered Investment Advisory firm - (6/30/2015 Terminated)Mississippi
Registered Investment Advisory firm - (5/29/2015 Terminated)New Jersey
Registered Investment Advisory firm - (6/16/2015 Terminated)Oklahoma
Registered Investment Advisory firm - (5/29/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/1/2015 Terminated)South Dakota
Registered Investment Advisory firm - (5/29/2015 Terminated)Texas
Registered Investment Advisory firm - (5/29/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (5/29/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Illinois(1/9/2015)
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SF
SGL FINANCIAL, LLC
ARGALLUS FINANCIAL | WITT FINANCIAL GROUP | WELL BEING FINANCIAL GROUP | WEALTH FINANCIAL GROUP WEST, INC. | WEALTH FINANCIAL GROUP | WEALTH FINANCIAL ADVISORY SERVICES, LLC | WEALTH FINANCIAL ADVISORY SERVICES LLC | WEALTH FINANCIAL ADVISORY SERVICES | TAMPA BAY ADVISORY, LLC | SUMMIT FINANCIAL GROUP OF TN | STANDARD CAPITAL FINANCIAL | SLOANE FINANCIAL SERVICES | SGL FINANCIAL, LLC | SCOTT TUCKER SOLUTIONS | SAFE MONEY RETIREMENT STRATEGIES | ROGERS TAX ADVISORY | PHELAN FINANCIAL SOLUTIONS | NORTHLAND FINANCIAL | MOORE FINANCIAL CONCEPTS | MC2 WEALTH MANAGEMENT | MAINSAIL WEALTH MANAGEMENT | JC FINANCIAL EDUCATORS | JARVIS LAW FIRM | INTELLECTUAL BUSINESS SOLUTIONS | GEURIN WEALTH MANAGEMENT | FLIESS FINANCIAL SERVICES, LLC | FIRST STATE FINANCIAL PLANNERS | FINANCIAL RESOURCES GROUP | FELTS FINANCIAL SERVICES | ESTATE AND WEALTH MANAGEMENT | DUELL WEALTH MANAGEMENT | DR. HAROLD WONG & ASSOCIATES | DIVECHA FINANCIAL, LLC | DEDICATED SENIOR ADVISORS | DEDICATED FINANCIAL SERVICES, LLC | CREW AND LLOYD | COWEN TAX ADVISORY GROUP | CHROBAK ADVISORY GROUP | BROWN FINANCIAL GROUP | BOWERS AND ASSOCIATES, LLC | BLUE AND GRAY FINANCIAL | BETTER LIFE FINANCIAL, LLC | AUSTIN FIRST FINANCIAL
CRD#: 158023 / SEC#: 801-96223
RIA
Registered Investment Advisory firm - (5/29/2015 Approved)Arizona
Registered Investment Advisory firm - (5/29/2015 Terminated)Arkansas
Registered Investment Advisory firm - (5/29/2015 Terminated)California
Registered Investment Advisory firm - (6/28/2015 Terminated)Colorado
Registered Investment Advisory firm - (6/19/2015 Terminated)Connecticut
Registered Investment Advisory firm - (6/1/2015 Terminated)Florida
Registered Investment Advisory firm - (5/29/2015 Terminated)Illinois
Registered Investment Advisory firm - (5/29/2015 Terminated)Iowa
Registered Investment Advisory firm - (6/30/2015 Terminated)Mississippi
Registered Investment Advisory firm - (5/29/2015 Terminated)New Jersey
Registered Investment Advisory firm - (6/16/2015 Terminated)Oklahoma
Registered Investment Advisory firm - (5/29/2015 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/1/2015 Terminated)South Dakota
Registered Investment Advisory firm - (5/29/2015 Terminated)Texas
Registered Investment Advisory firm - (5/29/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (5/29/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1130 W Lake Cook Road Suite 150, Buffalo Grove, IL 60089
Mailing Address
Phone number
(888) 245-2388
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,251 |
| AUM (Assets Under Management) | $ 218,580,905 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
