Jeffrey D. Thomas

SWAN GLOBAL INVESTMENTS

Milton, MA

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CRD#: 4078805

Professional summary

Jeffrey David Thomas, who also goes by None, Jeffrey D Thomas, is a registered financial advisor currently at SWAN GLOBAL INVESTMENTS, LLC located in Milton, Massachusetts and NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Jeffrey has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None | Jeffrey D 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.

MR. THOMAS IS THE OWNER OF A RENTAL PROPERTY LOCATED AT 9 MAPLE WAY, HULL, MA 02045 WHERE HE SPENDS APPROXIMATELY 3 HOURS PER MONTH FACILITATING REPAIRS OR SERVICE AND COLLECTION OF RENTAL INCOME. HE BEGAN THIS NON INVESTMENT RELATED ACTIVITY IN OCTOBER 2012.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey David 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

February 12, 2021 - Present

SWAN GLOBAL INVESTMENTS, LLC

RIA

CRD#: 114669

Milton, MA

Current

March 26, 2021 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022

CRD#: 126159

Elkhorn, NE

Past

May 7, 2019 - January 5, 2021

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538

WEST DES MOINES, IA

Past

October 23, 2017 - April 3, 2019

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

October 6, 2017 - April 22, 2019

SWAN GLOBAL INVESTMENTS, LLC

RIA

CRD#: 114669

SAN FRANCISCO, CA

Past

January 4, 2017 - August 28, 2017

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

November 5, 2012 - August 25, 2017

WBI INVESTMENTS, LLC

RIA

CRD#: 106336

San Francisco, CA

Past

September 19, 2012 - December 31, 2016

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

March 10, 2011 - August 15, 2012

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

March 20, 2008 - June 8, 2009

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

August 7, 2006 - March 7, 2008

FORESIDE PLAZA DISTRIBUTORS, LLC

CRD#: 103739

PORTLAND, ME

Past

March 12, 2003 - July 31, 2006

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

November 21, 2000 - February 18, 2003

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

BOSTON, MA

Past

February 14, 2000 - November 27, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

February 14, 2000 - November 27, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, 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".

SWAN GLOBAL INVESTMENTS, LLC

SWAN CONSULTING, INC. | SWAN WEALTH ADVISORS, INC. | SWAN GLOBAL INVESTMENTS, LLC

CRD#: 114669 / SEC#: 801-70881

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

Colorado

Registered Investment Advisory firm - (2/19/2010 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2010 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

Colorado
(2/12/2021)

Colorado
(12/5/2023)

Massachusetts
(3/26/2021)

Nebraska
(12/5/2023)

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 66

Date: 11/2/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/18/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/3/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/11/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SWAN GLOBAL INVESTMENTS, LLC

SWAN CONSULTING, INC. | SWAN WEALTH ADVISORS, INC. | SWAN GLOBAL INVESTMENTS, LLC

CRD#: 114669 / SEC#: 801-70881

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

Colorado

Registered Investment Advisory firm - (2/19/2010 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2010 Terminated)

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Contact information

Main Address

1099 Main Ave Suite 206, Durango, CO 81301

Mailing Address

Phone number

(970) 382-8901

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWAN GLOBAL INVESTMENTS LLC ADV PART 2A BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,969
AUM (Assets Under Management)	$ 2,406,792,590

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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Firm Stability Insights

Jeffrey D. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey David Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN LIGHTS DISTRIBUTORS, LLC

SAMMONS FINANCIAL NETWORK, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

SWAN GLOBAL INVESTMENTS, LLC

FORESIDE FUND SERVICES, LLC

WBI INVESTMENTS, LLC

QUASAR DISTRIBUTORS, LLC

GUARDIAN INVESTOR SERVICES LLC

TRANSAMERICA CAPITAL, LLC

FORESIDE PLAZA DISTRIBUTORS, LLC

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

NATIXIS DISTRIBUTION, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SWAN GLOBAL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/2/2012

Series 63

Date: 2/18/2000

SIE

Date: 10/1/2018

Series 7

Date: 12/3/2003

Series 6

Date: 2/11/2000

FINRA

Current Firm

SWAN GLOBAL INVESTMENTS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWAN GLOBAL INVESTMENTS, LLC

TRUST BUT VERIFY

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