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ST

Sajan K. Thomas

THOMAS CAPITAL GROUP
Gig Harbor, WA 98335
Some features on this profile are disabled
CRD#: 2659883
ST

Professional summary

Sajan Karingatil Thomas is a registered financial professional currently at THOMAS CAPITAL GROUP, INC. located in Gig Harbor, Washington.

Sajan is registered as a RR (Registered Representative) and started their career in finance in 1995. Sajan has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Sajan Karingatil 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

August 6, 1998 - Present

THOMAS CAPITAL GROUP, INC.

Office #1: 3312 Rosedale St Nw Suite 203b, Gig Harbor, WA 98335
BD
CRD#: 45180
Gig Harbor, WA
Past

January 2, 2019 - April 29, 2019

THOMAS INVESTMENT GROUP, LLC

RIA
CRD#: 155349
GIG HARBOR, WA
Past

January 5, 2011 - March 14, 2018

THOMAS INVESTMENT GROUP, LLC

RIA
CRD#: 155349
GIG HARBOR, WA
Past

November 30, 1995 - October 24, 1997

RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS

BD
CRD#: 37550
TACOMA, WA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arizona
(8/1/2006)
RR
California
(8/1/2006)
RR
Connecticut
(8/1/2006)
RR
Florida
(8/1/2006)
RR
Indiana
(9/19/2017)
RR
Nebraska
(8/1/2006)
RR
New York
(3/28/2000)
RR
Ohio
(6/20/2005)
RR
Pennsylvania
(6/20/2017)
RR
Virginia
(8/1/2006)
RR
Washington
(8/10/1998)

Exams

State Security Law Exam
RR
Series 63
Date: 4/8/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/6/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
THOMAS CAPITAL GROUP, INC.
S.S. THOMAS & ASSOCIATES, LLC | THOMAS CAPITAL GROUP, L.L.C. | THOMAS CAPITAL GROUP, INC.

CRD#: 45180 / SEC#: , 8-50986

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1915 49th St Ct Nw, Gig Harbor, WA 98335
Mailing Address
1915 49th St Ct Nw, Gig Harbor, WA 98335
Phone number
(253) 777-4477
Established
Washington since 01/02/2008
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THOMAS, SAJAN KARINGATILPRESIDENT & CEO2659883
THOMAS, SHEELA CHERIANSHAREHOLDER3049259
MYOTT, STEPHEN JAMESMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, FINOP1143701
ALLEN, SHAMONE MAXINEDIRECTOR3269257
LEVINE, JEFFREY PAULMANAGING DIRECTOR4299528

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

THOMAS CAPITAL GROUP, INC.

CRD#: 45180Gig Harbor, WA 98335

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