Stephen D. Thomas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Douglas Thomas was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1971. Stephen had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 1, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2016 - April 7, 2020
KESTRA INVESTMENT SERVICES, LLC
October 6, 2016 - April 7, 2020
KESTRA ADVISORY SERVICES, LLC
November 16, 2010 - December 31, 2016
CAREY, THOMAS, HOOVER & BREAULT ADVISORS
April 25, 2002 - December 22, 2011
CAREY, THOMAS, HOOVER, & BREAULT, INC.
March 15, 2002 - December 31, 2003
BTS ASSET MANAGEMENT, INC.
May 17, 2001 - October 17, 2016
CAREY, THOMAS, HOOVER, & BREAULT, INC.
May 19, 1981 - May 17, 2001
CAREY, THOMAS & ASSOCIATES, INC.
September 21, 1979 - April 7, 1982
HARTER SECURITIES, INC.
April 9, 1979 - June 6, 1980
MICK, STACK ASSOCIATES, INC
April 20, 1971 - March 5, 1985
STIFEL, NICOLAUS & COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 4/6/1971
Registered Representative ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
