JT
Joshua G. Thomas
SVB WEALTH
Raleigh, NC 27603
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CRD#: 2450518
JT
Professional summary
Joshua Gary Thomas is a registered financial advisor currently at SVB WEALTH located in Raleigh, North Carolina and FIRST CITIZENS INVESTOR SERVICES, INC. located in Raleigh, North Carolina.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Joshua has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 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.
SVB Wealth LLC-Investment Related-Director, Affluent Wealth Advisors; 2770 Sandhill Road, Menlo Park, CA 94025; Wealth Advisory; Position is Director, Affluent Wealth Advisors; Started 06/2022; FTE employee; Supervise registered individuals who provide wealth management advice to SVBW clients.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Gary 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 28, 2022 - Present
SVB WEALTH
Office #1: 100 East Tryon Rd., Raleigh, NC 27603RIA
CRD#: 172832
Raleigh, NC
Current
December 7, 2023 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 100 East Tryon Road Mail Code: Dac19, Raleigh, NC 27603RIA
BD
CRD#: 44430
Raleigh, NC
Past
July 2, 2020 - December 31, 2023
SVB INVESTMENT SERVICES INC.
BD
CRD#: 168116
Cottonwood Heights, UT
Past
January 22, 2020 - July 29, 2022
SVB INVESTMENT SERVICES INC.
RIA
CRD#: 168116
Cottonwood Heights, UT
Past
September 25, 2008 - January 7, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SALT LAKE CITY, UT
Past
September 24, 2008 - January 7, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SALT LAKE CITY, UT
Past
July 2, 2002 - September 19, 2008
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
CINCINNATI, OH
Past
February 5, 1994 - September 19, 2008
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
CINCINNATI, OH
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".
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 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(2/2/2024)
RR
Alaska(2/2/2024)
IAR
Arizona(7/28/2022)
RR
Arizona(2/2/2024)
RR
Arkansas(2/2/2024)
IAR
California(6/28/2022)
RR
California(2/2/2024)
IAR
Colorado(8/1/2022)
RR
Colorado(2/2/2024)
IAR
Connecticut(6/29/2022)
RR
Connecticut(2/2/2024)
RR
Delaware(2/2/2024)
IAR
District of Columbia(2/21/2023)
RR
District of Columbia(2/2/2024)
IAR
Florida(8/16/2022)
RR
Florida(2/2/2024)
IAR
Georgia(6/29/2022)
RR
Georgia(2/2/2024)
RR
Hawaii(2/2/2024)
RR
Idaho(2/2/2024)
IAR
Illinois(7/29/2022)
RR
Illinois(2/2/2024)
IAR
Indiana(6/28/2022)
RR
Indiana(2/2/2024)
RR
Iowa(2/2/2024)
RR
Kansas(2/2/2024)
RR
Kentucky(2/2/2024)
RR
Louisiana(2/2/2024)
RR
Maine(2/2/2024)
IAR
Maryland(6/30/2022)
RR
Maryland(2/2/2024)
IAR
Massachusetts(8/8/2022)
RR
Massachusetts(2/2/2024)
RR
Michigan(2/2/2024)
IAR
Minnesota(6/30/2022)
RR
Minnesota(2/2/2024)
RR
Mississippi(2/2/2024)
IAR
Missouri(6/28/2022)
RR
Missouri(2/2/2024)
RR
Montana(2/2/2024)
RR
Nebraska(2/2/2024)
IAR
Nevada(7/29/2022)
RR
Nevada(2/2/2024)
IAR
New Hampshire(8/22/2022)
RR
New Hampshire(2/2/2024)
IAR
New Jersey(6/29/2022)
RR
New Jersey(2/2/2024)
RR
New Mexico(2/2/2024)
IAR
New York(7/28/2022)
RR
New York(2/2/2024)
IAR
North Carolina(8/1/2022)
RR
North Carolina(2/5/2024)
RR
North Dakota(2/2/2024)
IAR
Ohio(6/28/2022)
RR
Ohio(2/2/2024)
RR
Oklahoma(2/2/2024)
RR
Oregon(2/2/2024)
IAR
Pennsylvania(6/29/2022)
RR
Pennsylvania(2/2/2024)
RR
Puerto Rico(2/2/2024)
RR
Rhode Island(2/2/2024)
RR
South Carolina(2/2/2024)
RR
South Dakota(2/2/2024)
RR
Tennessee(2/2/2024)
IAR
Texas(7/5/2022)
RR
Texas(2/2/2024)
IAR
Utah(7/28/2022)
RR
Utah(1/1/2024)
IAR
Vermont(6/28/2022)
RR
Vermont(2/2/2024)
RR
Virgin Islands(2/2/2024)
IAR
Virginia(7/30/2022)
RR
Virginia(2/2/2024)
IAR
Washington(10/21/2022)
RR
Washington(2/2/2024)
RR
West Virginia(2/2/2024)
RR
Wisconsin(2/2/2024)
RR
Wyoming(2/2/2024)
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
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
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Contact information
Main Address
53 State Street 28th Floor, Boston, MA 02109
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(617) 223-0200
Established
Firm type
Fiscal year end
# of Employees
85
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
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.
Company Information
SVB WEALTH
CRD#: 172832Raleigh, NC 27603TRUST BUT VERIFY
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