Christopher J. Thomas

ALIGN WEALTH MANAGEMENT

San Jose, CA 95125

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CRD#: 4306408

Professional summary

Christopher John Thomas, CFP® is a registered financial advisor currently at ALIGN WEALTH MANAGEMENT, LLC located in San Jose, California.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Christopher has worked at 6 firms and has passed the Series 66, Series 7TO, 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.

I am the Sole Owner of a CPA Firm. The Firm name is Thomas & Company, CPA, located in San Jose, California. I receive no commissions from this business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher John 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^®

Certified Financial Planner

Start date: 2008

Experience

Current

November 1, 2022 - Present

ALIGN WEALTH MANAGEMENT, LLC

Office #1: 1850 Hamilton Ave, San Jose, CA 95125

RIA

CRD#: 323615

San Jose, CA

Past

September 12, 2014 - April 21, 2020

LPL FINANCIAL LLC

CRD#: 6413

SAN MATEO, CA

Past

April 1, 2014 - September 12, 2014

FINANCIAL TELESIS INC

CRD#: 31012

SAN MATEO, CA

Past

February 5, 2010 - April 17, 2014

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SAN MATEO, CA

Past

February 1, 2010 - December 31, 2022

VANTAGE WEALTH MANAGEMENT, LLC

RIA

CRD#: 152374

SAN MATEO, CA

Past

March 22, 2001 - February 8, 2010

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

SAN JOSE, CA

Past

January 17, 2001 - February 8, 2010

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

SAN JOSE, CA

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

Arizona
(1/1/2024)

IAR

California
(11/1/2022)

IAR

Texas
(12/9/2022)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/18/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/1/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/2001

General Securities Representative Examination

Current Firm

ALIGN WEALTH MANAGEMENT, LLC

CRD#: 323615 / SEC#:

Arizona

Registered Investment Advisory firm - (1/1/2024 Approved)

California

Registered Investment Advisory firm - (11/1/2022 Approved)

Texas

Registered Investment Advisory firm - (12/9/2022 Conditional Restricted)

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Contact information

Main Address

1850 Hamilton Ave, San Jose, CA 95125

Mailing Address

Phone number

(408) 559-7444

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	144
AUM (Assets Under Management)	$ 87,526,554

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

Christopher J. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher John Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

FINANCIAL TELESIS INC

CAMBRIDGE INVESTMENT RESEARCH, INC.

VANTAGE WEALTH MANAGEMENT, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2001

Series 7TO

Date: 1/1/2024

SIE

Date: 10/1/2018

Series 7

Date: 3/21/2001

Current Firm

ALIGN WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALIGN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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