WT
William A. Thomas
SECURE ASSET MANAGEMENT, L.L.C.
Troy, MI 48084
Some features on this profile are disabled
CRD#: 5091838
WT
Professional summary
William Anthony Thomas, CFP®, who also goes by William A. Thomas, is a registered financial advisor currently at SECURE ASSET MANAGEMENT, L.L.C. located in Troy, Michigan and AURORA SECURITIES located in Utica, Michigan.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. William has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William A. Thomas
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.
1) SECURE ASSET MANAGEMENT, LLC; INVT REL; 2565 W. MAPLE ROAD, TROY MI 48084; RIA FIRM, ADVISORY SALES AND DBA FOR SECURITIES; INVESTMENT ADVISOR REPRESENTATIVE AND REGISTERED REPRESENTATIVE; START 03/2011; 15 HRS/MO; 15 HRS/MO DURING TRADING; INVESTMENT ADVISORY AND SECURITIES SALES. 2) SECURE INVESTORS GROUP, INC.; INVT REL; 2565 W. MAPLE ROAD, TROY MI 48084; INSURANCE; AGENT; START 03/2011; 20 HRS/MO; 20 HRS/MO DURING TRADING; INSURANCE SALES & CLIENT SERVICE. 3) SECURE TAX SERVICE; NONINT REL; 2565 W. MAPLE ROAD, TROY MI 48084; TAX, ACCOUNTING & BOOKKEEPING; ACCOUNTANT; START 09/2013; 10 HRS/MO; 10 HRS/MO DURING TRADING; PREPARE TAXES; DO ACCOUNTING & BOOKKEEPING. 4) WILLIAM A THOMAS - THOMAS FINANCIAL; NONINVT REL; 12777 RED BUD DRIVE, SHELBY TWP MI 48315; TAX, ACCOUNTING & BOOKKEEPING; ACCOUNTANT; START 09/2013; 5 HRS/MO; 5 HRS/MO DURING TRADING; PREPARE TAXES; DO ACCOUNTING & BOOKKEEPING. 5) William Thomas is a registered representative of Aurora Securities, Inc., a broker/dealer. As a registered representative, he may receive separate yet typical compensation in the form of commissions from the sale of the securities. 6) FINRA Arbitrator, 55 W Monroe Ste 2600 Chicago IL 60603, Dispute Resolution, Arbitrator, 8/2/2011, on an as needed basis, moderate industry arbitration cases.
CRS (Client Relationship Summary) - RIA
Click below to view William Anthony Thomas's 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®
Experience
Current
March 25, 2011 - Present
SECURE ASSET MANAGEMENT, L.L.C.
Office #1: 2565 West Maple Rd, Troy, MI 48084RIA
CRD#: 144046
Troy, MI
Current
March 22, 2017 - Present
AURORA SECURITIES
Office #1: 8300 Hall Road Suite 200, Utica, MI 48317BD
CRD#: 46147
Utica, MI
Past
July 20, 2018 - July 15, 2019
FRESHWATER ASSET MANAGEMENT, LLC
RIA
CRD#: 296315
UTICA, MI
Past
May 7, 2015 - December 31, 2016
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
Troy, MI
Past
October 18, 2013 - May 1, 2015
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
TROY, MI
Past
April 14, 2011 - October 17, 2013
WORLD CAPITAL BROKERAGE, INC.
BD
CRD#: 37
TROY, MI
Past
October 7, 2010 - March 18, 2011
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BLOOMFIELD HILLS, MI
Past
March 3, 2006 - October 4, 2010
HANTZ FINANCIAL SERVICES, INC.
BD
CRD#: 46047
SHELBY TOWNSHIP, MI
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".
SA
SECURE ASSET MANAGEMENT, L.L.C.
1031 CONSULTING AND SERVICES GROUP | WITTENBERG INVESTMENTS, INC | TRANSCEND FINANCIAL | TRADEWELL TAX & FINANCIAL | TRADEWELL FINANCIAL | TITAN WEALTH ADVISORS | THOMAS FINANCIAL | SON LIGHT INC. | SECURE MANAGEMENT | SECURE ASSET MANAGEMENT, LLC | SECURE ASSET MANAGEMENT, L.L.C. | RW BOWLIN INVESTMENT SERVICES, INC. | REAL ESTATE TRANSITION SOLUTIONS | RANGE FINANCIAL | PREMIER ESTATE PLANNERS | PACELINE FINANCIAL LLC | NUSTAR FINANCIAL | NEVILLE FINANCIAL GROUP | MURRAY, TYMKEW & ASSOCIATES, INC. | MONEY & INVESTMENT CONCEPTS | INFORM FINANCIAL | HORNYAK FINANCIAL GROUP | HARRISON FINANCIAL | GOLDSTEIN FINANCIAL | GLEN H. CHESTER & ASSOCIATES | FORTNER WEALTH SERVICES | FORTHRIGHT CAPITAL MANAGEMENT, LLC | FINANCIAL STRATEGIES GROUP | EVERGREEN INVESTMENTS | CRESCENDO FINANCE | COUGHLIN WEALTH MANAGEMENT | COMPASS FINANCIAL | BLUEBIRD ADVISORY
CRD#: 144046 / SEC#: 801-113954
RIA
Registered Investment Advisory firm - (9/7/2018 Approved)Arizona
Registered Investment Advisory firm - (9/17/2018 Terminated)Colorado
Registered Investment Advisory firm - (9/17/2018 Terminated)Florida
Registered Investment Advisory firm - (9/17/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/7/2018 Terminated)Indiana
Registered Investment Advisory firm - (9/19/2018 Terminated)Michigan
Registered Investment Advisory firm - (9/18/2018 Terminated)New York
Registered Investment Advisory firm - (9/17/2018 Terminated)Ohio
Registered Investment Advisory firm - (9/17/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/17/2018 Terminated)Texas
Registered Investment Advisory firm - (9/17/2018 Terminated)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.RR
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
RR
Arizona(12/11/2020)
RR
Connecticut(3/9/2021)
RR
Florida(12/11/2020)
IAR
Illinois(9/26/2016)
IAR
Indiana(9/5/2018)
RR
Indiana(12/11/2020)
RR
Maryland(12/11/2020)
IAR
Michigan(3/25/2011)
RR
Michigan(4/19/2017)
RR
New Jersey(3/31/2020)
RR
Oregon(4/13/2021)
IAR
Pennsylvania(10/31/2016)
RR
South Carolina(7/27/2021)
RR
Texas(12/11/2020)
RR
Virginia(11/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SECURE ASSET MANAGEMENT, L.L.C.
1031 CONSULTING AND SERVICES GROUP | WITTENBERG INVESTMENTS, INC | TRANSCEND FINANCIAL | TRADEWELL TAX & FINANCIAL | TRADEWELL FINANCIAL | TITAN WEALTH ADVISORS | THOMAS FINANCIAL | SON LIGHT INC. | SECURE MANAGEMENT | SECURE ASSET MANAGEMENT, LLC | SECURE ASSET MANAGEMENT, L.L.C. | RW BOWLIN INVESTMENT SERVICES, INC. | REAL ESTATE TRANSITION SOLUTIONS | RANGE FINANCIAL | PREMIER ESTATE PLANNERS | PACELINE FINANCIAL LLC | NUSTAR FINANCIAL | NEVILLE FINANCIAL GROUP | MURRAY, TYMKEW & ASSOCIATES, INC. | MONEY & INVESTMENT CONCEPTS | INFORM FINANCIAL | HORNYAK FINANCIAL GROUP | HARRISON FINANCIAL | GOLDSTEIN FINANCIAL | GLEN H. CHESTER & ASSOCIATES | FORTNER WEALTH SERVICES | FORTHRIGHT CAPITAL MANAGEMENT, LLC | FINANCIAL STRATEGIES GROUP | EVERGREEN INVESTMENTS | CRESCENDO FINANCE | COUGHLIN WEALTH MANAGEMENT | COMPASS FINANCIAL | BLUEBIRD ADVISORY
CRD#: 144046 / SEC#: 801-113954
RIA
Registered Investment Advisory firm - (9/7/2018 Approved)Arizona
Registered Investment Advisory firm - (9/17/2018 Terminated)Colorado
Registered Investment Advisory firm - (9/17/2018 Terminated)Florida
Registered Investment Advisory firm - (9/17/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/7/2018 Terminated)Indiana
Registered Investment Advisory firm - (9/19/2018 Terminated)Michigan
Registered Investment Advisory firm - (9/18/2018 Terminated)New York
Registered Investment Advisory firm - (9/17/2018 Terminated)Ohio
Registered Investment Advisory firm - (9/17/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/17/2018 Terminated)Texas
Registered Investment Advisory firm - (9/17/2018 Terminated)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
2565 West Maple Rd, Troy, MI 48084
Mailing Address
Phone number
(248) 414-1562
Established
Firm type
Fiscal year end
# of Employees
53
SEC notice filing (40 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,714 |
| AUM (Assets Under Management) | $ 890,034,531 |
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.
