Bobby (. Thomas

EQUITYCOMPASS INVESTMENT MANAGEMENT

BALTIMORE, MD 21202

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CRD#: 5163293

Professional summary

Bobby (nmn) Thomas, who also goes by Bobby Thomas, Boby Thomas, is a registered financial advisor currently at EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC located in Baltimore, Maryland.

Bobby is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Bobby has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bobby Thomas | Boby 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bobby (nmn) 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

September 8, 2010 - Present

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

Office #1: One South Street 16th Floor, Baltimore, MD 21202

RIA

CRD#: 145420

BALTIMORE, MD

Past

June 28, 2007 - July 1, 2009

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

BALTIMORE, MD

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".

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

CRD#: 145420 / SEC#: 801-69131

RIA

Registered Investment Advisory firm - (5/8/2008 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.

Highlighted states indicate IAR registrations

IAR

Maryland
(9/8/2010)

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: 9/30/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/3/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/27/2007

General Securities Representative Examination

Current Firm

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

CRD#: 145420 / SEC#: 801-69131

RIA

Registered Investment Advisory firm - (5/8/2008 Approved)

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Contact information

Main Address

One South Street 25th Floor, Baltimore, MD 21202

Mailing Address

Phone number

(443) 224-1231

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	158
AUM (Assets Under Management)	$ 222,608,624

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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Bobby (. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bobby (nmn) Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Primary Firm SEC Registration

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/30/2009

Series 63

Date: 7/3/2007

Series 7

Date: 6/27/2007

Current Firm

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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