Jacob R. 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.
Jacob Romy Thomas, who also goes by Thomas Romy Jacob, Jacob R. Thomas, Jacob Romeo Thomas, Jacob Thomas, Romy Thomas, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 2010. Jacob had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2016 - May 19, 2022
VALLEY WEALTH MANAGERS, INC.
March 31, 2016 - April 7, 2016
NEW CENTURY ASSET MANAGEMENT, INC.
July 17, 2015 - November 11, 2015
CETERA INVESTMENT SERVICES LLC
July 15, 2011 - July 15, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 30, 2011 - July 18, 2011
INVEST FINANCIAL CORPORATION
March 26, 2010 - October 11, 2010
GARDEN STATE SECURITIES, INC.
Primary Firm SEC Registration
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879 / SEC#: 801-25461
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
Current Firm
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879 / SEC#: 801-25461
Contact information
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,957 |
| AUM (Assets Under Management) | $ 2,317,257,859 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 09/07/2023 | ||
| 10/04/2022 |
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.
