Richard Lee Thomas Ii
Professional Summary
Richard Lee Thomas II, who also goes by Richard Lee Thomas, is a registered financial advisor currently at FOCUS SECURITIES LLC located in Gainesville, Virginia. Richard is registered as a RR (Registered Representative) and started their career in finance in 2007. Richard has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Lee Thomas
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
FOCUS SECURITIES LLC
Contact Information
Main Address
7371 Atlas Walk Way #259, Gainesville, VA 20155Mailing Address
7371 Atlas Walk Way #259, Gainesville, VA 20155Phone Number
(404) 557-1045Established
Georgia since 03/23/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOCUS CAPITAL ACQUISITION LLC | OWNER | — |
| BEARD, ROBERT GLENN | PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER | 5771682 |
| THOMPSON, RICHARD FRANK JR. | FINOP, ER | — |
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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.
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State Registrations and Notice Filings
(2/24/2021)
(10/8/2010)
(2/23/2016)
(5/5/2014)
(3/26/2010)
(1/18/2011)
(12/15/2021)
(5/20/2021)
(8/25/2014)
(11/12/2013)
(4/10/2013)
(5/31/2023)
(8/1/2011)
(10/8/2010)
(7/5/2019)
(5/5/2015)
(3/19/2021)
(8/5/2020)
(10/8/2010)
(11/11/2020)
(1/24/2011)
(10/8/2010)
(3/25/2011)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Lee Thomas II's CRS (Customer Relationship Summary).
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