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AT

Aaron N. Thomas

WOODMEN FINANCIAL SERVICES
Omaha, NE 68102
Some features on this profile are disabled
CRD#: 5147409
AT

Professional summary

Aaron N Thomas, who also goes by Aaron N Thomas, Aaron N. Thomas, is a registered financial professional currently at WOODMEN FINANCIAL SERVICES, INC. located in Omaha, Nebraska.

Aaron is registered as a RR (Registered Representative) and started their career in finance in 2007. Aaron has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aaron N Thomas | Aaron N. 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) 03/01/2022 - Silverleaf Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 03/2022 2) 09/21/2022 - Gladstone Institutional Advisory - DBA: Gladstone Wealth Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date - 03/13/2022 - 160 Hours Per Month/6 Hours During Securities Trading - I provide investment advisory services through Gladstone Institutional Advisory, an independent investment advisor firm. I started this business activity in 09/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Aaron N 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

August 7, 2024 - Present

WOODMEN FINANCIAL SERVICES, INC.

Office #1: 1700 Farnam Street, Omaha, NE 68102
BD
CRD#: 117365
Omaha, NE
Past

May 3, 2023 - August 6, 2024

D.A. DAVIDSON & CO.

RIA
CRD#: 199
OMAHA, NE
Past

May 3, 2023 - August 6, 2024

D.A. DAVIDSON & CO.

BD
CRD#: 199
OMAHA, NE
Past

March 4, 2022 - February 22, 2023

GLADSTONE WEALTH PARTNERS

RIA
CRD#: 250787
Omaha, NE
Past

March 2, 2022 - February 21, 2023

LPL FINANCIAL LLC

BD
CRD#: 6413
OMAHA, NE
Past

July 20, 2017 - February 24, 2022

BANCWEST INVESTMENT SERVICES, INC.

RIA
CRD#: 29357
OMAHA, NE
Past

February 8, 2017 - February 24, 2022

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
OMAHA, NE
Past

November 4, 2016 - February 3, 2017

SECURITIES AMERICA, INC.

BD
CRD#: 10205
OMAHA, NE
Past

June 24, 2014 - November 3, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
OMAHA, NE
Past

August 15, 2012 - November 6, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
OMAHA, NE
Past

August 3, 2010 - October 26, 2010

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

December 12, 2007 - November 4, 2009

PACIFIC SELECT DISTRIBUTORS, LLC

BD
CRD#: 4452
OMAHA, NE
Past

February 2, 2007 - October 18, 2007

TD AMERITRADE, INC.

BD
CRD#: 7870
BELLEVUE, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Nebraska
(8/7/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/19/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/14/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/31/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/13/2024
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WF
WOODMEN FINANCIAL SERVICES, INC.
WOODMEN FINANCIAL SERVICES, INC.

CRD#: 117365 / SEC#: , 8-53592

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
1700 Farnam Street, Omaha, NE 68102
Mailing Address
1700 Farnam St., Omaha, NE 68102
Phone number
(877) 664-3332
Established
Nebraska since 07/11/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WFS HOLDINGS, INC.100% OWNER OF WOODMEN FINANCIAL SERVICES, INC.
BENGTSON, CYNTHIA SHAWNDIRECTOR AND CHAIRMAN6073749
BUDERUS, TIMOTHY KEVINPRESIDENT, CEO AND DIRECTOR3083401
DARLING, DANIEL RUSSELLSENIOR SALES MANAGER5220507
DAY, JACOB MICHAELDIRECTOR5003086
DRIFFILL, CHARLES REICH JR.DIRECTOR5239194
EBLEN, LINDSEY JEANFINOP AND REVIEW PRINCIPAL (CFO)/TREASURER4496236
OLARI, NICHOLAS CONNERDIRECTOR AND SECRETARY6079027
PORTER, RAHJACHIEF COMPLIANCE OFFICER6860469
ROSAUER, ADAM THOMASMANAGER OF OPERATIONS4761408

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.

Company Information

WOODMEN FINANCIAL SERVICES, INC.

CRD#: 117365Omaha, NE 68102

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