David L. Thomas

EPG

BOSTON, MA 02109

Some features on this profile are disabled

CRD#: 1383731

Professional summary

David Lawrence Thomas, who also goes by Dave Thomas, is a registered financial advisor currently at EPG INCORPORATED located in Boston, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. David has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Thomas

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lawrence Thomas's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 20, 2003 - Present

EPG INCORPORATED

Office #1: 150 State Street, Boston, MA 02109

RIA

CRD#: 106821

BOSTON, MA

Past

March 27, 1990 - November 30, 2000

THE WINDMILL GROUP, INC.

CRD#: 8384

SOMERS, NY

Past

May 15, 1986 - April 7, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

July 1, 1985 - May 27, 1986

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

EPG INCORPORATED

E.P.G., INCORPORATED | EPG INCORPORATED | EPG INC | EASTERN PORTFOLIO ADVISORS

CRD#: 106821 / SEC#: 801-51518

RIA

Registered Investment Advisory firm - (3/1/1996 Approved)

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

Massachusetts
(2/20/2003)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/13/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/18/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/28/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EPG INCORPORATED

E.P.G., INCORPORATED | EPG INCORPORATED | EPG INC | EASTERN PORTFOLIO ADVISORS

CRD#: 106821 / SEC#: 801-51518

RIA

Registered Investment Advisory firm - (3/1/1996 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

205 Newbury Street Suite 403, Framingham, MA 01701

Mailing Address

Phone number

(781) 235-2666

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EPG ADV PART II BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	76
AUM (Assets Under Management)	$ 3,477,266,118

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David L. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Lawrence Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE WINDMILL GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

EPG INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 2/13/2002

Series 63

Date: 7/15/1985

Series 7

Date: 1/18/1986

Series 6

Date: 6/28/1985

Current Firm

EPG INCORPORATED

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EPG INCORPORATED

TRUST BUT VERIFY

Similar Advisors