ST
Stephen L. Thomas
LINDEN THOMAS ADVISORY SERVICES | Managing Principal
CHARLOTTE, NC 28202
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CRD#: 1789031
ST
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 Series 24 exams.
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.
Question & Answer
What are your service offerings?
Institutional consulting
Insurance
Philanthropic services
Trust & estate planning
Financial planning
Trading individual securities
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Steve 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.
2005-PRESENT, COMMERCIAL RENTAL PROPERTY, BLOWING ROCK, NC, NOT INVESTMENT-RELATED, OWNER OF BUILDING RENTED TO RESTAURANT, 0 HRS/MO; 06/2007-PRESENT, COMMERCIAL RENTAL PROPERTY, BLOWING ROCK, NC, NOT INVESTMENT-RELATED, 100% OWNERSHIP, 0 HRS/MO; 2012-PRESENT, SLT PROPERTIES, HOLDING COMPANY TO HOLD REAL ESTATE FOR FINET PRACTICE OFFICE, NOT INVESTMENT-RELATED, CHARLOTTE, NC, OWNER, 2 HRS/MO, 0 HRS DURING TRADING; 02/2018-PRESENT, LINDEN THOMAS ADVISORY SERVICES LLC, CHARLOTTE, NC, REGISTERED INVESTMENT ADVISER, INVESTMENT-RELATED, FOUNDER, 100-160 HRS/MO, 4-6 HRS DURING TRADING; 06/2021-PRESENT, INDEXPERTS LLC, CHARLOTTE, NC, REGISTERED INVESTMENT ADVISER, INVESTMENT-RELATED, FOUNDER; 09/2022-PRESENT, REAL ESTATE RENTAL, NOT INVESTMENT-RELATED, OWNER, 0 HRS/MO.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Linden 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
June 19, 2018 - Present
LINDEN THOMAS ADVISORY SERVICES, LLC
Office #1: 516 North Tryon Street, Suite 200, Charlotte, NC 28202RIA
CRD#: 288557
CHARLOTTE, NC
Current
August 2, 2021 - Present
INDEXPERTS, LLC
Office #1: 516 North Tryon Street, Charlotte, NC 28202RIA
CRD#: 314858
CHARLOTTE, NC
Current
May 11, 2018 - Present
LINDEN THOMAS AND COMPANY SECURITIES, LLC
Office #1: 516 N Tryon Street, Charlotte, NC 28202Office #2: 516 N. Tryon Street, Charlotte, NC 28202BD
CRD#: 290244
CHARLOTTE, NC
Past
March 17, 2005 - June 20, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
CHARLOTTE, NC
Past
March 17, 2005 - June 20, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
CHARLOTTE, NC
Past
February 16, 2001 - March 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHARLOTTE, NC
Past
February 16, 2001 - March 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 13, 1995 - February 21, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 31, 1993 - July 12, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 24, 1988 - April 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
LT
LINDEN THOMAS ADVISORY SERVICES, LLC
LINDEN THOMAS ADVISORY SERVICES, LLC | STRATEGIC INDEX ADVISORS, LLC | LINDEN THOMAS AND COMPANY
CRD#: 288557 / SEC#: 801-110683
RIA
Registered Investment Advisory firm - (6/23/2017 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/26/2018)
RR
Arizona(6/27/2018)
RR
Arkansas(6/27/2018)
RR
California(6/19/2018)
RR
Colorado(7/2/2018)
RR
Connecticut(6/27/2018)
RR
Delaware(6/28/2018)
RR
District of Columbia(6/25/2018)
RR
Florida(6/19/2018)
RR
Georgia(6/18/2018)
RR
Illinois(6/25/2018)
RR
Indiana(4/30/2025)
RR
Iowa(6/26/2018)
RR
Kansas(6/17/2025)
RR
Kentucky(6/27/2018)
RR
Louisiana(6/28/2018)
RR
Maine(6/21/2018)
RR
Maryland(6/19/2018)
RR
Massachusetts(11/8/2018)
RR
Michigan(6/22/2018)
RR
Minnesota(11/8/2024)
RR
Mississippi(6/29/2018)
RR
Missouri(6/20/2018)
RR
Montana(6/19/2018)
RR
Nebraska(12/23/2021)
RR
New Hampshire(7/20/2021)
RR
New Jersey(6/27/2018)
RR
New York(6/27/2018)
RR
North Carolina(6/26/2018)
IAR
North Carolina(6/27/2018)
RR
Ohio(6/21/2018)
RR
Oklahoma(1/4/2021)
RR
Oregon(6/22/2018)
RR
Pennsylvania(6/21/2018)
RR
South Carolina(6/27/2018)
RR
South Dakota(6/27/2018)
RR
Tennessee(6/28/2018)
IAR
Texas(6/19/2018)
RR
Texas(6/20/2018)
RR
Utah(12/15/2021)
RR
Vermont(1/3/2022)
RR
Virginia(6/27/2018)
RR
Washington(6/26/2018)
RR
Wisconsin(8/23/2018)
RR
Wyoming(5/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LT
LINDEN THOMAS ADVISORY SERVICES, LLC
LINDEN THOMAS ADVISORY SERVICES, LLC | STRATEGIC INDEX ADVISORS, LLC | LINDEN THOMAS AND COMPANY
CRD#: 288557 / SEC#: 801-110683
RIA
Registered Investment Advisory firm - (6/23/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
516 North Tryon Street, Suite 200, Charlotte, NC 28202
Mailing Address
Phone number
(704) 554-8150
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,977 |
| AUM (Assets Under Management) | $ 1,633,842,616 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LINDEN THOMAS ADVISORY SERVICES, LLC
Managing PrincipalCRD#: 288557Charlotte, NC 28202TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
