Stephen Linden Thomas
Professional Summary
Stephen Linden Thomas, who also goes by Steve Thomas, is a registered financial advisor currently at LINDEN THOMAS ADVISORY SERVICES, LLC located in Charlotte, North Carolina and INDEXPERTS, LLC located in Charlotte, North Carolina. Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Stephen has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Risk Management & Insurance
- Estate & Legacy Planning
- Financial Planning
- Investment Management
- Retirement Planning
Biography
Linden Thomas & Company will work closely with its clients to develop strategies that help secure their financial future. This will be accomplished by providing sound, unbiased investment advice, and continuously anticipating clients’ needs through a commitment to superior client service and ongoing interactive relationships.
Other Aliases
Steve Thomas
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
LINDEN THOMAS ADVISORY SERVICES, LLC | STRATEGIC INDEX ADVISORS, LLC | LINDEN THOMAS AND COMPANY
Contact Information
Main Address
516 North Tryon Street, Charlotte, NC 28202Phone Number
(704) 554-8150# of Employees
14SEC notice filing (18 States and Territories)
Registered to provide investment advisory services in 18 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
7,111AUM (Assets Under Management)
$1,771,455,363Similar Advisors
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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.
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Primary Firm SEC Registration
LINDEN THOMAS ADVISORY SERVICES, LLC | STRATEGIC INDEX ADVISORS, LLC | LINDEN THOMAS AND COMPANY
State Registrations and Notice Filings
(6/26/2018)
(6/27/2018)
(6/27/2018)
(6/19/2018)
(7/2/2018)
(6/27/2018)
(6/28/2018)
(6/25/2018)
(6/19/2018)
(6/18/2018)
(6/25/2018)
(4/30/2025)
(6/26/2018)
(6/17/2025)
(6/27/2018)
(6/28/2018)
(6/21/2018)
(6/19/2018)
(11/8/2018)
(6/22/2018)
(11/8/2024)
(6/29/2018)
(6/20/2018)
(6/19/2018)
(12/23/2021)
(7/20/2021)
(6/27/2018)
(6/27/2018)
(6/26/2018)
(6/27/2018)
(6/21/2018)
(1/4/2021)
(6/22/2018)
(6/21/2018)
(6/27/2018)
(6/27/2018)
(6/28/2018)
(6/19/2018)
(6/20/2018)
(12/15/2021)
(1/3/2022)
(6/27/2018)
(6/26/2018)
(8/23/2018)
(5/6/2025)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen Linden Thomas's CRS (Customer Relationship Summary).
Services Offered by Stephen
- Risk Management & Insurance
- Estate & Legacy Planning
- Financial Planning
- Investment Management
- Retirement Planning
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