Sandra Catherine Thomas

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Contact Information

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Disclosures on record.

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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Years of Experience

24 years registered in the securities industry

Current & Past Employments

Current

S.C. THOMAS & ASSOCIATES, CPA, LLCCurrent·CRD# 121666

RIA

3599 Reserve Commons Dr, Medina, OH 44256

September 22, 2017 - Present

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Current Firm

ST

S.C. THOMAS & ASSOCIATES, CPA, LLC

S.C. THOMAS & ASSOCIATES, CPA | THOMAS, SANDRA CATHERINE | SANDRA C. THOMAS, CPA | S.C. THOMAS & ASSOCIATES, CPA, LLC

CRD#: 121666 / SEC#: 801-135895

RIA

Registered Investment Advisory firm - SEC (4/17/2026 Approved)

Ohio

Registered Investment Advisory firm - Ohio (5/1/2026 Terminated)

Texas

Registered Investment Advisory firm - Texas (5/1/2026 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).

Contact Information

Main Address

3599 Reserve Commons Dr, Medina, OH 44256

Phone Number

(330) 725-3162

# of Employees

2

SEC notice filing (3 States and Territories)

Registered to provide investment advisory services in 3 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/19/2026)

Regulatory Assets Under Management

Total Number of Accounts

265

AUM (Assets Under Management)

$104,552,674

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Texas	ERA - Withdrawn	3/29/2024

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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".

ST

S.C. THOMAS & ASSOCIATES, CPA, LLC

S.C. THOMAS & ASSOCIATES, CPA | THOMAS, SANDRA CATHERINE | SANDRA C. THOMAS, CPA | S.C. THOMAS & ASSOCIATES, CPA, LLC

CRD#: 121666 / SEC#: 801-135895

RIA

Registered Investment Advisory firm - SEC (4/17/2026 Approved)

Ohio

Registered Investment Advisory firm - Ohio (5/1/2026 Terminated)

Texas

Registered Investment Advisory firm - Texas (5/1/2026 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.

IAR

Ohio
(9/22/2017)

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.