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LT

Luke A. Thomas

THIRD LAKE ASSOCIATES
Tampa, FL 33605
Some features on this profile are disabled
CRD#: 5884376
LT

Professional summary

Luke Aaron Thomas is a registered financial professional currently at THIRD LAKE ASSOCIATES, LLC located in Tampa, Florida.

Luke is registered as a RR (Registered Representative) and started their career in finance in 2012. Luke has worked at 2 firms and has passed the Series 66, Series 63, Series 79TO, Series 7TO, SIE, Series 79 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Luke Aaron 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 19, 2024 - Present

THIRD LAKE ASSOCIATES, LLC

Office #1: 1600 East 8th Avenue, Suite A-208, Tampa, FL 33605Office #2: 1600 East 8th Avenue,, Suite A-208, Tampa, FL 33605
BD
CRD#: 324388
Tampa, FL
Past

July 10, 2012 - October 3, 2013

HYDE PARK CAPITAL ADVISORS, LLC

BD
CRD#: 104271
TAMPA, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/7/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/15/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/8/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/5/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/10/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/9/2012
Investment Banking Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/23/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TL
THIRD LAKE ASSOCIATES, LLC
THIRD LAKE ASSOCIATES, LLC

CRD#: 324388 / SEC#: , 8-71097

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1600 East 8th Avenue, Suite A-208, Tampa, FL 33605
Mailing Address
1600 East 8th Avenue, Suite A-208, Tampa, FL 33605
Phone number
(727) 349-9300
Established
Delaware since 08/14/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THIRD LAKE HOLDINGS, LLCOWNER
AZARY, DENNIS MICHAELFINOP2384263
BECK, ERIC JASONCHIEF COMPLIANCE OFFICER4824373
OLDFIELD, STEWART MARTINCHIEF EXECUTIVE OFFICER3167083
THOMAS, LUKE AARONGENERAL SECURITIES PRINCIPAL5884376

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

THIRD LAKE ASSOCIATES, LLC

CRD#: 324388Tampa, FL 33605

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