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Richard G. Thoms

ALLOCATIONS SECURITIES
Santa Rosa, CA 95403
Some features on this profile are disabled
CRD#: 6292727
RT

Professional summary

Richard Gordon Thoms, who also goes by Richard G Thoms, is a registered financial professional currently at ALLOCATIONS SECURITIES located in Santa Rosa, California.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2022. Richard has worked at 1 firm and has passed the Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard G Thoms

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 Richard Gordon Thoms's CRS (Customer Relationship Summary).
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

December 21, 2022 - Present

ALLOCATIONS SECURITIES

Office #1: 3558 Round Barn Boulevard Suite 200 Office 206, Santa Rosa, CA 95403
BD
CRD#: 317750
Santa Rosa, CA

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

General Industry/Product Exam
RR
Series 7TO
Date: 8/8/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/2/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ALLOCATIONS SECURITIES
ALLOCATIONS SECURITIES | ALLOCATIONSX | ALLOCATIONS SECURITIES, LLC

CRD#: 317750 / SEC#: , 8-70850

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

Main Address
3558 Round Barn Boulevard Suite 200 Office 206, Santa Rosa, CA 95403
Mailing Address
3558 Round Barn Boulevard Suite 200 Office 206, Santa Rosa, CA 95403
Phone number
(707) 236-6533
Established
Delaware since 10/22/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLOCATIONS, INCMEMBER
NUNEZ, KURT RPRESIDENT/CHIEF COMPLIANCE OFFICER4327653
RICHARDS, JAMES ROSSFINANCIAL OPERATIONS PRINCIPAL2680389

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

ALLOCATIONS SECURITIES

CRD#: 317750Santa Rosa, CA 95403

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