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Amelia L. Thomas

EMPIRE CAPITAL VENTURES
Roswell, GA 30076
Some features on this profile are disabled
CRD#: 5421888
AT

Professional summary

Amelia Leigh Thomas is a registered financial advisor currently at EMPIRE CAPITAL VENTURES located in Roswell, Georgia.

Amelia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Amelia has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
Amelia Thomas is currently a managing partner of her tax planning, accounting and bookkeeping business operated under her name Amelia Thomas. This activity accounts for approximately 20 hours of her time per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amelia Leigh 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®
None

Experience

Current

January 25, 2021 - Present

EMPIRE CAPITAL VENTURES

Office #1: 760 Old Roswell Road Ste 354, Roswell, GA 30076
RIA
CRD#: 299014
Roswell, GA
Past

August 27, 2020 - December 31, 2020

EMPIRE CAPITAL VENTURES

RIA
CRD#: 299014
ROSWELL, GA
Past

December 3, 2018 - December 31, 2019

EMPIRE CAPITAL VENTURES

RIA
CRD#: 299014
ATLANTA, GA
Past

October 26, 2017 - June 21, 2018

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
BALTIMORE, MD
Past

October 26, 2017 - June 21, 2018

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
BALTIMORE, MD
Past

August 5, 2014 - November 2, 2015

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
Montgomery, AL
Past

August 5, 2014 - November 2, 2015

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
Montgomery, AL
Past

May 16, 2013 - July 9, 2014

BBVA SECURITIES INC.

BD
CRD#: 27060
BIRMINGHAM, AL
Past

December 7, 2012 - July 9, 2014

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA
CRD#: 110476
BIRMINGHAM, AL
Past

December 3, 2012 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
BIRMINGHAM, AL
Past

October 11, 2011 - October 26, 2012

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
BIRMINGHAM, AL
Past

September 29, 2011 - October 26, 2012

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

February 2, 2010 - May 2, 2011

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
PHOENIX, AZ
Past

February 2, 2010 - May 2, 2011

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
PHOENIX, AZ
Past

March 30, 2009 - July 9, 2009

NEW ENGLAND SECURITIES

RIA
CRD#: 615
MONTGOMERY, AL
Past

June 25, 2008 - July 9, 2009

NEW ENGLAND SECURITIES

BD
CRD#: 615
MONTGOMERY, AL
Past

October 24, 2007 - May 7, 2008

FIRST COMMAND BROKERAGE SERVICES, INC.

BD
CRD#: 3641
MONTGOMERY, AL

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
Georgia
(1/25/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/1/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/2/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/21/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/27/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/23/2007
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/22/2013
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/30/2011
General Securities Principal Examination

Current Firm

EC
EMPIRE CAPITAL VENTURES
EMPIRE CAPITAL | NAVARONE FINANCIAL GROUP, LLC | NAVARONE FINANCIAL GROUP | EMPIRE CAPITAL VENTURES

CRD#: 299014 / SEC#:

Georgia
Registered Investment Advisory firm - (1/25/2021 Approved)
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Contact information

Main Address
760 Old Roswell Road Ste 354, Roswell, GA 30076
Mailing Address
Phone number
(334) 391-7417
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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

EMPIRE CAPITAL VENTURES

CRD#: 299014Roswell, GA 30076

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