BT
Brian R. Thomas
KESTRA PRIVATE WEALTH SERVICES
Bloomfield Hills, MI 48304
Some features on this profile are disabled
CRD#: 4243411
BT
Professional summary
Brian R Thomas is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Bloomfield Hills, Michigan and KESTRA INVESTMENT SERVICES, LLC located in Bloomfield Hills, Michigan.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 6 firms and has passed the Series 66, 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.
Bus Name: AGBU Special Projects Investment Related: No Address: 1925 Midchester West Bloomfield MI 48324 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: I am one of the chairmen of the annual golf outing. Start Date: 1/16/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I am responsible for scheduling, organizing and leading meetings in preparation for the golf outing. I do not handle, nor do I have access to any funds relating to this charitable group. Bus Name: OLIVESDAD, INC POSITION: Owner NATURE: Pass Thru Entity INVESTMENT RELATED: No # OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/03/2020 ADDRESS: 40701 Woodward Ave, Suite # 103, Bloomfield Hills MI 48304, United States DESCRIPTION: This is my Pass Thru Entity for all Kestra PWS Revenue. Bus Name: OWL PWA POSITION: Financial Advisor NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 80 START DATE: 01/16/2020 ADDRESS: 40701 Woodward Ave, Suite #103, Bloomfield Hills MI 48304, United States DESCRIPTION: Advisory, Commission Brokerage and Insurance RR
CRS (Client Relationship Summary) - RIA
Click below to view Brian R 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
January 30, 2020 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 40701 Woodward Avenue Suite 200, Bloomfield Hills, MI 48304RIA
CRD#: 155193
Bloomfield Hills, MI
Current
January 30, 2020 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 40701 Woodward Avenue Suite 103, Bloomfield Hills, MI 48304BD
CRD#: 42046
Bloomfield Hills, MI
Past
March 4, 2010 - February 11, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
TROY, MI
Past
April 17, 2009 - December 31, 2009
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
TROY, MI
Past
April 17, 2009 - February 11, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
TROY, MI
Past
January 6, 2006 - April 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BLOOMFIELD HILLS, MI
Past
January 6, 2006 - April 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BLOOMFIELD HILLS, MI
Past
September 23, 2002 - January 18, 2006
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
TROY, MI
Past
September 23, 2002 - January 18, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 16, 2002 - October 2, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DETROIT, MI
Past
September 15, 2000 - October 2, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 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
California(1/30/2020)
RR
Connecticut(1/30/2020)
RR
Florida(1/30/2020)
RR
Georgia(1/30/2020)
RR
Indiana(1/30/2020)
RR
Massachusetts(1/30/2020)
RR
Michigan(1/30/2020)
IAR
Michigan(1/30/2020)
RR
Missouri(1/30/2020)
RR
Montana(1/30/2020)
RR
New Jersey(7/6/2022)
RR
New York(1/30/2020)
RR
Ohio(1/30/2020)
RR
Pennsylvania(1/30/2020)
RR
South Carolina(6/12/2023)
RR
Texas(1/30/2020)
RR
Wisconsin(1/30/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
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
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.
