CT
Christopher W. Thomas
USAA INVESTMENT SERVICES COMPANY
Plano, TX 75024
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CRD#: 5924087
CT
Professional summary
Christopher Wayne Thomas is a registered financial advisor currently at USAA INVESTMENT SERVICES COMPANY located in Plano, Texas.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Christopher has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
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.
Nature of Business: Life Insurance Agent for USAA Life Insurance Company, an affiliate of the firm.
Business Address: 9800 Fredericksburg Road, San Antonio, TX 78288
Title/Position: Life/Health agent
Brief Description of Duties Performed: I am a licensed insurance agent of USAA Life Insurance Company (LifeCo), an affiliate of USAA Investment Services Company (ISCO), and perform duties for LifeCo which may include life insurance sales, annuity sales, and/or LifeCo management responsibilities in addition to my duties as a registered representative performed on behalf of ISCO.
Dates Employed: 01/28/2015 TO PRESENT
Amount of time you devote per week or per month: 38-40 hours per week
Work During Trading Hours: Yes
Investment related: Yes
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Wayne Thomas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Wayne 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®
NoneExperience
Current
January 8, 2018 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: 7300 Parkwood Blvd. Building A 3rd Floor, Plano, TX, 75024RIA
BD
CRD#: 5475
Plano, TX
Current
June 8, 2020 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: 7300 Parkwood Blvd. Building A 3rd Floor, Plano, TX, 75024RIA
BD
CRD#: 5475
Plano, TX
Past
November 21, 2014 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
ADDISON, TX
Past
November 21, 2014 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
ADDISON, TX
Past
July 25, 2013 - April 15, 2014
MORGAN STANLEY
RIA
CRD#: 149777
SHREVEPORT, LA
Past
June 4, 2013 - April 15, 2014
MORGAN STANLEY
BD
CRD#: 149777
SHREVEPORT, LA
Past
February 14, 2012 - April 23, 2013
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
December 13, 2011 - December 19, 2011
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
MINDEN, LA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/8/2020)
RR
Alaska(6/8/2020)
RR
Arizona(6/8/2020)
RR
Arkansas(6/8/2020)
RR
California(6/8/2020)
RR
Colorado(6/8/2020)
RR
Connecticut(6/8/2020)
RR
Delaware(6/8/2020)
RR
District of Columbia(6/8/2020)
RR
Florida(6/8/2020)
RR
Georgia(6/8/2020)
RR
Hawaii(6/8/2020)
RR
Idaho(6/8/2020)
RR
Illinois(6/8/2020)
RR
Indiana(6/8/2020)
RR
Iowa(6/8/2020)
RR
Kansas(6/8/2020)
RR
Kentucky(6/8/2020)
RR
Louisiana(6/8/2020)
RR
Maine(6/8/2020)
RR
Maryland(6/8/2020)
RR
Massachusetts(6/8/2020)
RR
Michigan(6/8/2020)
RR
Minnesota(6/8/2020)
RR
Mississippi(6/8/2020)
RR
Missouri(6/8/2020)
RR
Montana(6/8/2020)
RR
Nebraska(6/8/2020)
RR
Nevada(6/8/2020)
RR
New Hampshire(6/8/2020)
RR
New Jersey(6/8/2020)
RR
New Mexico(6/8/2020)
RR
New York(6/8/2020)
RR
North Carolina(6/8/2020)
RR
North Dakota(6/8/2020)
RR
Ohio(6/8/2020)
RR
Oklahoma(6/8/2020)
RR
Oregon(6/8/2020)
RR
Pennsylvania(6/8/2020)
RR
Puerto Rico(6/8/2020)
RR
Rhode Island(6/8/2020)
RR
South Carolina(6/8/2020)
RR
South Dakota(6/8/2020)
RR
Tennessee(6/8/2020)
IAR
Texas(1/8/2018)
RR
Texas(6/8/2020)
RR
Utah(6/8/2020)
RR
Vermont(6/8/2020)
RR
Virgin Islands(6/8/2020)
RR
Virginia(6/8/2020)
RR
Washington(6/8/2020)
RR
West Virginia(6/8/2020)
RR
Wisconsin(6/8/2020)
RR
Wyoming(6/8/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Mailing Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Phone number
(800) 531-7960
Established
Delaware since 09/01/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
152
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475Plano, TX 75024TRUST BUT VERIFY
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