Steven R. 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.
Steven Ray Thomas, who also goes by Steve Thomas, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2005. Steven had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2013 - September 18, 2023
PHILLIPS AND COMPANY ADVISORS LLC
February 7, 2012 - December 31, 2013
PHILLIPS & COMPANY
February 23, 2005 - April 6, 2009
WADDELL & REED
January 11, 2005 - April 6, 2009
WADDELL & REED
Primary Firm SEC Registration
PHILLIPS AND COMPANY ADVISORS LLC
CRD#: 167214 / SEC#: 801-63879
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
Current Firm
PHILLIPS AND COMPANY ADVISORS LLC
CRD#: 167214 / SEC#: 801-63879
Contact information
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,525 |
| AUM (Assets Under Management) | $ 2,276,351,775 |
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.
