Dylan C. Thomas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dylan Conrad Thomas, who also goes by Dylan C. Thomas, Dylan Conrad Thomas, was a registered financial professional .
Dylan is a previously registered financial professional and started their career in finance in 2009. Dylan had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2024 - December 11, 2024
LION STREET ADVISORS, LLC
January 22, 2024 - December 11, 2024
LION STREET FINANCIAL, LLC
May 16, 2013 - January 5, 2015
BBVA SECURITIES INC.
April 16, 2010 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 12, 2009 - December 23, 2009
GUARANTY BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/22/2024
General Securities Representative ExaminationCurrent Firm
LION STREET ADVISORS, LLC
CRD#: 167610 / SEC#: 801-107414
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 7,668 |
| AUM (Assets Under Management) | $ 3,177,363,713 |
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.
