ST
Stephen R. Thomas
KESTRA ADVISORY SERVICES
Newbury Park, CA 91320
Some features on this profile are disabled
CRD#: 3022772
ST
Professional summary
Stephen Renden Thomas, CFP®, who also goes by Stephen R Thomas, Steve Thomas, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Newbury Park, California and KESTRA INVESTMENT SERVICES, LLC located in Newbury Park, California.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen R Thomas | 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.
Name: 318 LLC POSITION: CEO NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2014 ADDRESS: 3323 Old Conejo Road, Newbury Park CA 91320 DESCRIPTION: Shareholder Name: RENTAL PROPERTY PORTFOLIO POSITION: Partner NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/15/2021 ADDRESS: 3323 Old Conejo Road, Newbury Park CA 91320 DESCRIPTION: Own rental properties Name: FINANCIAL POINTE POSITION: Owner NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/01/1998 ADDRESS: 3323 Old Conejo Road, Newbury Park CA 91320 DESCRIPTION: Insurance sales as indicated by a financial plan (life insurance, long term care insurance, health insurance, disability insurance, fixed annuities) Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/03/2023 ADDRESS: 5707 Southwest Parkway, Suite 400, Austin TX 78735 DESCRIPTION: IAR NAME: RETIREMENT PLANNING TODAY POSITION: Instructor NATURE: Teaching classes INVESTMENT RELATED: No # OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 10/06/2015 ADDRESS: 3323 Old Conejo Road, Newbury Park CA 91320, United States DESCRIPTION: Teaching classes at local colleges to pre-retirees. NAME: ESSFC LLC POSITION: Investor NATURE: Dry cleaner & Laundromat INVESTMENT RELATED: No # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2025 ADDRESS: 3323 Old Conejo Road, Newbury Park CA 91320, United States DESCRIPTION: Invest money
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Renden 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®
CFP®
Start date: 2009
Experience
Current
October 3, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 3323 Old Conejo Road, Newbury Park, CA 91320RIA
CRD#: 283330
Newbury Park, CA
Current
October 3, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 3323 Old Conejo Rd, Newbury Park, CA 91320BD
CRD#: 42046
Newbury Park, CA
Past
September 1, 2023 - October 6, 2023
OSAIC WEALTH, INC.
RIA
CRD#: 23131
NEWBURY PARK, CA
Past
September 1, 2023 - October 6, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
NEWBURY PARK, CA
Past
February 15, 2011 - September 1, 2023
OSAIC SERVICES, INC.
RIA
CRD#: 133763
NEWBURY PARK, CA
Past
February 14, 2011 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
NEWBURY PARK, CA
Past
December 16, 2004 - February 28, 2011
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
WESTLAKE VILLAGE, CA
Past
December 16, 2004 - February 28, 2011
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
WESTLAKE VILLAGE, CA
Past
February 20, 2002 - December 17, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
August 23, 1999 - December 17, 2004
OSAIC FA, INC.
RIA
CRD#: 3978
WESTLAKE VILLAGE, CA
Past
July 28, 1999 - December 17, 2004
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
June 29, 1998 - May 19, 1999
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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(10/3/2023)
RR
California(10/3/2023)
IAR
California(10/3/2023)
RR
Colorado(10/3/2023)
RR
Connecticut(10/3/2023)
RR
Florida(10/3/2023)
RR
Georgia(10/3/2023)
RR
Hawaii(10/3/2023)
RR
Idaho(10/3/2023)
RR
Illinois(10/3/2023)
RR
Indiana(10/3/2023)
RR
Maryland(10/3/2023)
RR
Massachusetts(10/3/2023)
RR
Minnesota(10/3/2023)
RR
Montana(10/3/2023)
RR
Nevada(10/3/2023)
RR
New Hampshire(10/3/2023)
RR
New Jersey(10/3/2023)
RR
New Mexico(10/13/2025)
RR
New York(10/3/2023)
RR
North Carolina(10/9/2023)
RR
Oregon(10/3/2023)
RR
Pennsylvania(10/3/2023)
RR
South Carolina(10/3/2023)
RR
Tennessee(10/3/2023)
RR
Texas(10/3/2023)
IAR
Texas(10/3/2023)
RR
Utah(10/3/2023)
RR
Virginia(10/13/2025)
RR
Washington(10/3/2023)
RR
West Virginia(10/3/2023)
RR
Wyoming(7/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 10/3/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Newbury Park, CA 91320TRUST BUT VERIFY
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