John F. 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.
John Frank Thomas III, who also goes by John Frank Thomas 3, John Frank Thomas III, John Frank Thomas, Jack Thomas, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2015. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7TO 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
December 6, 2024 - February 3, 2025
FIRST HEARTLAND CONSULTANTS, INC.
October 18, 2024 - February 3, 2025
FIRST HEARTLAND CAPITAL, INC.
October 11, 2023 - July 24, 2024
OSAIC WEALTH, INC.
August 8, 2023 - July 24, 2024
BARON SILVER STEVENS FINANCIAL ADVISORS, LLC
March 22, 2018 - June 5, 2023
CAELIAN CAPITAL STRATEGIES, LLC
March 9, 2016 - March 14, 2016
TRUSTCORE INVESTMENTS LLC
May 22, 2015 - November 23, 2015
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
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: 9/12/2023
General Securities Representative ExaminationCurrent Firm
FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
Contact information
SEC notice filing (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 9,231 |
| AUM (Assets Under Management) | $ 1,771,078,009 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2025 | ||
| 08/12/2024 | ||
| 12/07/2023 |
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.
