Eric Jon Thomes
Professional Summary
Eric Jon Thomes is a registered financial advisor currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota. Eric is registered as a RR (Registered Representative) and started their career in finance in 2009. Eric has worked at 1 firm and has passed the SIE, Series 7, Series 6, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
17 years in the financial services industry
Current & Past Employments
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Current Firm
ALLIANZ LIFE FINANCIAL SERVICES, LLC | USALLIANZ INVESTOR SERVICES, LLC | NALAC FINANCIAL PLANS, LLC | NALAC FINANCIAL PLANS, INC.
Contact Information
Main Address
5701 Golden Hills Drive, Minneapolis, MN 55416-1297Mailing Address
P O Box 1117, Minneapolis, MN 55440-1117Phone Number
(763) 765-6500Established
Minnesota since 11/20/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | — |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| EBERHARD, DANIEL RICHARD | CHIEF FINANCIAL OFFICER | 8207554 |
| EBERHARD, DANIEL RICHARD | PRINCIPAL FINANCIAL OFFICER | 8207554 |
| EBERHARD, DANIEL RICHARD | PRINCIPAL OPERATIONS OFFICER | 8207554 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2009About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Sep 2009About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Eric Jon Thomes's CRS (Customer Relationship Summary).
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