BT
Brian S. Thomas
SOUTHLAND EQUITY PARTNERS.
MAKAWAO, HI
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CRD#: 3108812
BT
Professional summary
Brian Scott Thomas is a registered financial advisor currently at SOUTHLAND EQUITY PARTNERS, LLC. located in Makawao, Hawaii.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Brian has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
1)INSURANCE PRODUCTS OFFERED AS AN INDEPENDENT INSURANCE AGENT; 2) INVESTMENT ADVISORY SERVICES, FAIR WINDS WEALTH MANAGEMENT, 33 LONO AVE SUITE 450 KAHULUI HI 96732; YES, OWNER, 01/28/2011, 160HRS, 120HRS, MANAGE CLIENT ACCOUNTS WHICH INCLUDES CURRENT AND PERSPECTIVE HOLDINGS. 3) SOUNDVIEW TRUST LLC POSITION: Member NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/22/2019 ADDRESS: 19299 Augusta Ave NE, Suquamish WA 98392, United States DESCRIPTION: Member of 4 person LLC. Read emails/respond if needed 4) SOUTHLAND EQUITY PARTNERS POSITION: Advisor NATURE: Registered Investment Advisor (RIA). INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 50 START DATE: 02/01/2016 ADDRESS: 843 Maikai St, Makawao HI 96768, United States DESCRIPTION: Manage fee based client accounts using tactical/mechanical process. 5) DISCOUNT CAR RENTAL CORPORATION POSITION: Agent NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/02/2022 ADDRESS: PO Box 2344, Kihei HI 96753, United States DESCRIPTION: No active duties or tasks.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Scott 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
September 17, 2014 - Present
SOUTHLAND EQUITY PARTNERS, LLC.
RIA
CRD#: 154481
MAKAWAO, HI
Past
August 8, 2003 - December 31, 2022
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
MAKAWAO, HI
Past
August 6, 2003 - December 31, 2022
FSC SECURITIES CORPORATION
BD
CRD#: 7461
MAKAWAO, HI
Past
January 29, 1999 - August 19, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WAILUKU, HI
Past
October 23, 1998 - August 19, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, 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".
SE
SOUTHLAND EQUITY PARTNERS, LLC.
BODWELL FINANCIAL | WESTERN RESERVE CAPITAL MANAGEMENT | WEALTH STRATEGIES, LLC | TCP WEALTH MANAGEMENT | SOUTHLAND EQUITY PARTNERS, LLC. | SOUTHLAND EQUITY PARTNERS | RIDLEY WEALTH STRATEGIES | PORTICO GROUP | LONG FINANCIAL SERVICES | LESHNAK WEALTH | JACKSON & ASSOCIATES WEALTH MANAGEMENT | GRP WEATH STRATEGIES GROUP | FAIRWINDS WEALTH MANAGEMENT | CTM FINANCIAL GROUP | CROSBY CAPITAL ADVISORS | CORNERSTONE WEALTH MANAGEMENT | BRIDGELIGHT CAPITAL
CRD#: 154481 / SEC#: 801-71977
RIA
Registered Investment Advisory firm - (11/17/2010 Approved)Virginia
Registered Investment Advisory firm - (11/22/2010 Terminated)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
Hawaii(9/17/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SE
SOUTHLAND EQUITY PARTNERS, LLC.
BODWELL FINANCIAL | WESTERN RESERVE CAPITAL MANAGEMENT | WEALTH STRATEGIES, LLC | TCP WEALTH MANAGEMENT | SOUTHLAND EQUITY PARTNERS, LLC. | SOUTHLAND EQUITY PARTNERS | RIDLEY WEALTH STRATEGIES | PORTICO GROUP | LONG FINANCIAL SERVICES | LESHNAK WEALTH | JACKSON & ASSOCIATES WEALTH MANAGEMENT | GRP WEATH STRATEGIES GROUP | FAIRWINDS WEALTH MANAGEMENT | CTM FINANCIAL GROUP | CROSBY CAPITAL ADVISORS | CORNERSTONE WEALTH MANAGEMENT | BRIDGELIGHT CAPITAL
CRD#: 154481 / SEC#: 801-71977
RIA
Registered Investment Advisory firm - (11/17/2010 Approved)Virginia
Registered Investment Advisory firm - (11/22/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Wildwood, MO
Mailing Address
Po Box 7323, Charlottesville, VA 22906
Phone number
(770) 998-5879
Established
Firm type
Fiscal year end
# of Employees
22
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,680 |
| AUM (Assets Under Management) | $ 785,307,417 |
Red Flags
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