Glen A. Thomas

STERLING FINANCIAL PLANNING

Sparta, NJ 07871-2608

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CRD#: 1858079

Professional summary

Glen Andrew Thomas JR, who also goes by Glen Andrew Thomas, is a registered financial advisor currently at STERLING FINANCIAL PLANNING INC located in Sparta, New Jersey.

Glen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Glen has worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Glen Andrew 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 Glen Andrew Thomas JR'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

July 10, 2007 - Present

STERLING FINANCIAL PLANNING INC

Office #1: 60 Blue Heron Road, Suite 201, Sparta, NJ 07871-2608

RIA

CRD#: 108664

Sparta, NJ

Past

March 26, 2003 - February 18, 2004

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

SPARTA, NJ

Past

March 14, 2001 - December 31, 2006

NATIONAL PLANNING CORPORATION

CRD#: 29604

SPARTA, NJ

Past

April 12, 1995 - February 23, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

July 31, 1993 - May 27, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 6, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 20, 1990 - August 22, 1991

GIBRALTAR SECURITIES CO.

CRD#: 7093

FLORHAM PARK, NJ

Past

July 12, 1988 - March 28, 1989

BGC FINANCIAL, L.P.

CRD#: 19801

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".

STERLING FINANCIAL PLANNING INC

CRD#: 108664 / SEC#: 801-56025

RIA

Registered Investment Advisory firm - (11/10/1998 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

New Jersey
(7/10/2007)

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

Series 63

Date: 5/7/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/1990

General Securities Representative Examination

Current Firm

STERLING FINANCIAL PLANNING INC

CRD#: 108664 / SEC#: 801-56025

RIA

Registered Investment Advisory firm - (11/10/1998 Approved)

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Contact information

Main Address

60 Blue Heron Road, Suite 201, Sparta, NJ 07871-2608

Mailing Address

Phone number

(973) 729-1234

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,602
AUM (Assets Under Management)	$ 671,921,507

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.

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Firm Stability Insights

Glen A. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glen Andrew Thomas JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

CHARLES SCHWAB & CO., INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

GIBRALTAR SECURITIES CO.

BGC FINANCIAL, L.P.

Primary Firm SEC Registration

STERLING FINANCIAL PLANNING INC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/7/1990

Series 7

Date: 3/17/1990

Current Firm

STERLING FINANCIAL PLANNING INC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STERLING FINANCIAL PLANNING INC

TRUST BUT VERIFY

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