Brian S. Thomas

AG ASSET ADVISORY

Los Angeles, CA 90067

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CRD#: 4647656

Professional summary

Brian Scott Thomas is a registered financial advisor currently at AG ASSET ADVISORY, LLC located in Los Angeles, California.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Brian has worked at 2 firms and has passed the Series 65, Series 63, Series 55 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Scott Thomas's CRS (Customer Relationship Summary).

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

January 11, 2012 - Present

AG ASSET ADVISORY, LLC

Office #1: 1901 Avenue Of The Stars Suite 200, Los Angeles, CA 90067

RIA

CRD#: 154406

Los Angeles, CA

Past

June 25, 2003 - October 1, 2007

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

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".

AG ASSET ADVISORY, LLC

CRD#: 154406 / SEC#: 801-80760

RIA

Registered Investment Advisory firm - (1/2/2015 Approved)

California

Registered Investment Advisory firm - (2/6/2015 Terminated)

Texas

Registered Investment Advisory firm - (1/7/2015 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.

Highlighted states indicate IAR registrations

IAR

California
(1/11/2012)

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 65

Date: 12/23/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/19/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 6/23/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/13/2000

General Securities Representative Examination

Current Firm

AG ASSET ADVISORY, LLC

CRD#: 154406 / SEC#: 801-80760

RIA

Registered Investment Advisory firm - (1/2/2015 Approved)

California

Registered Investment Advisory firm - (2/6/2015 Terminated)

Texas

Registered Investment Advisory firm - (1/7/2015 Terminated)

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Contact information

Main Address

1901 Avenue Of The Stars Suite 200, Los Angeles, CA 90067

Mailing Address

Phone number

(310) 907-8656

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AG ASSET ADVISORY, LLC ADV BROCHURE (2/27/2025)

Regulatory assets under management

Total Number of Accounts	188
AUM (Assets Under Management)	$ 409,307,148

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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Brian S. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Scott Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

AG ASSET ADVISORY, LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

Primary Firm SEC Registration

AG ASSET ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/2011

Series 63

Date: 7/19/2003

Series 55

Date: 6/23/2003

Series 7

Date: 3/13/2000

Current Firm

AG ASSET ADVISORY, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AG ASSET ADVISORY, LLC

TRUST BUT VERIFY

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