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JT

Joseph H. Thomas

THOMAS & COMPANY LLC
Beachwood, OH 44122
Some features on this profile are disabled
CRD#: 445261
JT

Professional summary

Joseph Harruff Thomas, who also goes by Joseph H Thomas, is a registered financial advisor currently at THOMAS & COMPANY LLC located in Beachwood, Ohio.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Joseph has worked at 2 firms and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joseph H 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Harruff 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®
None

Experience

Current

July 25, 2012 - Present

THOMAS & COMPANY LLC

Office #1: 25800 Science Park Drive Suite 150, Beachwood, OH 44122
RIA
CRD#: 164731
Beachwood, OH
Past

October 6, 1999 - October 21, 2008

LAKEPOINT INVESTMENT PARTNERS LLC

RIA
CRD#: 107972
CLEVELAND, OH

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
Ohio
(7/25/2012)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/14/1993
Uniform Investment Adviser Law Examination

Current Firm

T&
THOMAS & COMPANY LLC
THOMAS & COMPANY LLC

CRD#: 164731 / SEC#:

Ohio
Registered Investment Advisory firm - (7/25/2012 Approved)
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Contact information

Main Address
25800 Science Park Drive Suite 150, Beachwood, OH 44122
Mailing Address
Phone number
(216) 292-9901
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts42
AUM (Assets Under Management)$ 80,487,736

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.

Company Information

THOMAS & COMPANY LLC

CRD#: 164731Beachwood, OH 44122

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