Richard C. Thomas

SIGNATURE FINANCIAL SERVICES, LTD

Noblesville, IN

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CRD#: 1909414

Professional summary

Richard Clark Thomas is a registered financial advisor currently at SIGNATURE FINANCIAL SERVICES, LTD located in Noblesville, Indiana and FIRST HEARTLAND CAPITAL, INC. located in Noblesville, Indiana.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Clark 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

March 19, 2001 - Present

SIGNATURE FINANCIAL SERVICES, LTD

RIA

CRD#: 123729

Noblesville, IN

Current

September 14, 2001 - Present

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

Noblesville, IN

Past

October 5, 2001 - December 9, 2003

EAST CENTRAL FARM BUSINESS FARM MANAGEMENT ASSOCIATION

RIA

CRD#: 122538

TUSCOLA, IL

Past

October 27, 1999 - September 17, 2001

MARQUIS FINANCIAL SERVICES, INC.

CRD#: 20733

TARZANA, CA

Past

December 16, 1994 - December 2, 1997

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

February 6, 1989 - November 30, 1990

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

February 6, 1989 - November 30, 1990

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

SIGNATURE FINANCIAL SERVICES, LTD

SIGNATURE FINANCIAL SERVICES, LTD | SIGNATURE FINANCIAL SERVICES,LTD

CRD#: 123729 / SEC#: 801-64258

RIA

Registered Investment Advisory firm - (5/27/2005 Approved)

Texas

Registered Investment Advisory firm - (8/31/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Illinois
(3/19/2001)

Illinois
(9/14/2001)

Indiana
(6/8/2018)

IAR

Indiana
(3/7/2025)

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

State Security Law Exam

IAR

Series 65

Date: 12/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/3/1989

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SIGNATURE FINANCIAL SERVICES, LTD

SIGNATURE FINANCIAL SERVICES, LTD | SIGNATURE FINANCIAL SERVICES,LTD

CRD#: 123729 / SEC#: 801-64258

RIA

Registered Investment Advisory firm - (5/27/2005 Approved)

Texas

Registered Investment Advisory firm - (8/31/2005 Terminated)

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Contact information

Main Address

855 East Golf Road, Suite 2128, Arlington Heights, IL 60005

Mailing Address

Phone number

(847) 545-8070

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (3/5/2025)

BROCHURE FOR ALL CLIENTS (3/5/2025)

Regulatory assets under management

Total Number of Accounts	475
AUM (Assets Under Management)	$ 227,070,000

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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Richard C. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Clark Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGNATURE FINANCIAL SERVICES, LTD

FIRST HEARTLAND CAPITAL, INC.

EAST CENTRAL FARM BUSINESS FARM MANAGEMENT ASSOCIATION

MARQUIS FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

SIGNATURE FINANCIAL SERVICES, LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 12/7/1999

Series 63

Date: 12/15/1994

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/15/1994

Series 6

Date: 2/3/1989

FINRA

Current Firm

SIGNATURE FINANCIAL SERVICES, LTD

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIGNATURE FINANCIAL SERVICES, LTD

TRUST BUT VERIFY

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