Herman E. Thomas Iii
CFP®Professional Summary
Herman E. Thomas III, CFP®, who also goes by Everett Thomas, Herman Everett Thomas III, Herman Thomas, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Wheaton, Illinois and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island. Herman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Herman has worked at 3 firms and has passed the Series 66, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Insurance Planning
- Estate Planning
- Investment Planning
- Retirement Planning
- Comprehensive Financial Planning
- Education Planning
Biography
I help leaders pursue their lifetime financial goals through benefits optimization, equity compensation expertise, wealth planning and advice.
Other Aliases
Everett Thomas, Herman Everett Thomas Iii, Herman Thomas
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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OSAIC WEALTH, INC.
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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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Credentials
Years of Experience
15 years in the financial services industry
Current & Past Employments
Education
Northwestern University
Finance, Master of Business Administration (MBA)
Finance, Master of Business Administration (MBA)
2021
Heidelberg College
Finance, Economics, Bachelor of Business Administration
Finance, Economics, Bachelor of Business Administration
2010
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Current Firm
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
Contact Information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698Phone Number
(617) 563-7000# of Employees
17,112SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,973,512AUM (Assets Under Management)
$1,370,125,325,211Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
State Registrations and Notice Filings
(9/9/2022)
(8/21/2023)
(2/12/2021)
(9/9/2022)
(2/16/2011)
(10/8/2019)
(1/4/2019)
(7/8/2022)
(1/6/2024)
(10/8/2019)
(8/30/2021)
(3/4/2022)
(1/6/2024)
(2/16/2011)
(3/31/2025)
(2/16/2011)
(7/8/2022)
(9/9/2022)
(9/9/2022)
(9/9/2022)
(9/9/2022)
(9/9/2022)
(4/23/2020)
(8/13/2021)
(3/4/2022)
(9/9/2022)
(5/21/2020)
(3/25/2023)
(9/9/2022)
(1/6/2023)
(4/21/2023)
(1/7/2021)
(2/12/2021)
(2/16/2011)
(3/3/2020)
(8/21/2023)
(8/15/2021)
(9/9/2022)
(3/4/2022)
(10/8/2019)
(8/23/2022)
(1/6/2023)
(5/21/2020)
(3/4/2022)
(3/31/2020)
(12/19/2019)
(3/31/2025)
(3/4/2022)
(1/6/2024)
(1/6/2024)
(1/6/2021)
(9/9/2022)
(9/9/2022)
(11/11/2020)
(8/21/2023)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Herman E. Thomas III's CRS (Customer Relationship Summary).
Services Offered by Herman
- Insurance Planning
- Estate Planning
- Investment Planning
- Retirement Planning
- Comprehensive Financial Planning
- Education Planning
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