Shane P. Thomas

SMEDLEY FINANCIAL SERVICES

SALT LAKE CITY, UT 84111

Some features on this profile are disabled

CRD#: 4707101

Professional summary

Shane Paul Thomas is a registered financial advisor currently at SMEDLEY FINANCIAL SERVICES INC located in Salt Lake City, Utah and OSAIC WEALTH, INC. located in Salt Lake City, Utah.

Shane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Shane has worked at 3 firms and has passed the Series 66, SIE 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.

***SMEDLEY FINANCIAL POSITION: registered investment advisor representative NATURE: SMEDLEY FINANCIAL SERVICES INC./FINANCIAL SERVICES --ADVISOR RELATIONS INVESTMENT RELATED: Yes NUMBER OF HOURS: 144 SECURITIES TRADING HOURS: 144 START DATE: 07/29/2003 ADDRESS: 102 S 200 E Suite 100, Salt Lake City UT 84111 DESCRIPTION: registered investment advisor representative

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Paul 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

July 8, 2005 - Present

SMEDLEY FINANCIAL SERVICES INC

Office #1: 102 S. 200 E., Suite 100, Salt Lake City, UT 84111

RIA

CRD#: 110870

SALT LAKE CITY, UT

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 102 S. 200 E Suite 100, Salt Lake City, UT 84111-3108

RIA

CRD#: 23131

SALT LAKE CITY, UT

Past

April 5, 2004 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

SALT LAKE CITY, UT

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".

SMEDLEY FINANCIAL SERVICES INC

CRD#: 110870 / SEC#: 801-17207

RIA

Registered Investment Advisory firm - (6/4/1982 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Utah
(7/8/2005)

Utah
(6/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/18/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SMEDLEY FINANCIAL SERVICES INC

CRD#: 110870 / SEC#: 801-17207

RIA

Registered Investment Advisory firm - (6/4/1982 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

102 S. 200 E. Suite 100, Salt Lake City, UT 84111

Mailing Address

Phone number

(801) 355-8888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SMEDLEY FINANCIAL SERVICES INC. ADV PART 2A (8/8/2025)

Regulatory assets under management

Total Number of Accounts	1,952
AUM (Assets Under Management)	$ 341,758,231

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.

Similar Advisors

Kyle Fukuchi

OSAIC WEALTH, INC.

IAR

Farmington, UT

Neal Hansen

NET WORTH ADVISORY GROUP, LLC

IAR

Sandy, UT

Justin Lizama

SIMPLE FINANCIAL, LLC

IAR

West Jordan, UT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Shane P. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Paul Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMEDLEY FINANCIAL SERVICES INC

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

Primary Firm SEC Registration

SMEDLEY FINANCIAL SERVICES INC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/18/2005

SIE

Date: 10/1/2018

Series 7

Date: 4/2/2004

FINRA

Current Firm

SMEDLEY FINANCIAL SERVICES INC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMEDLEY FINANCIAL SERVICES INC

TRUST BUT VERIFY

Similar Advisors