Michael J. Thomas

RLB FINANCIAL

Northridge, CA 91324

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CRD#: 6483975

Professional summary

Michael Jacob Thomas, who also goes by Mike Thomas, is a registered financial advisor currently at RLB FINANCIAL located in Northridge, California.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Michael has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Thomas

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.

Miller and Co. LLP; 21700 Oxnard St, Suite 1250, Woodland Hills, CA 91367; Investment related: No; CPA Firm; Partner; 01/2007; Approximately 168 hours a month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jacob Thomas'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

September 18, 2018 - Present

RLB FINANCIAL

Office #1: 9221 Corbin Ave Suite 110, Northridge, CA 91324

RIA

CRD#: 151778

Northridge, CA

Past

September 24, 2015 - September 17, 2018

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

WOODLAND HILLS, CA

Past

August 13, 2015 - September 17, 2018

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

Woodland Hills, CA

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".

RLB FINANCIAL

RLB FINANCIAL | RLB FINANCIAL LLC

CRD#: 151778 / SEC#: 801-128918

RIA

Registered Investment Advisory firm - (10/19/2023 Approved)

California

Registered Investment Advisory firm - (2/2/2024 Terminated)

Illinois

Registered Investment Advisory firm - (1/3/2024 Terminated)

Missouri

Registered Investment Advisory firm - (1/3/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(9/18/2018)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/24/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/17/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/10/2015

General Securities Representative Examination

Current Firm

RLB FINANCIAL

RLB FINANCIAL | RLB FINANCIAL LLC

CRD#: 151778 / SEC#: 801-128918

RIA

Registered Investment Advisory firm - (10/19/2023 Approved)

California

Registered Investment Advisory firm - (2/2/2024 Terminated)

Illinois

Registered Investment Advisory firm - (1/3/2024 Terminated)

Missouri

Registered Investment Advisory firm - (1/3/2024 Terminated)

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Contact information

Main Address

2530 S. Campbell Suite I, #130, Springfield, MO 65807

Mailing Address

Phone number

(866) 686-8097

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RLB ADV2A/2B SEC (10/3/2025)

Regulatory assets under management

Total Number of Accounts	604
AUM (Assets Under Management)	$ 172,133,809

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.

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Michael J. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Jacob Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

RLB FINANCIAL

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

Primary Firm SEC Registration

RLB FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 9/24/2015

SIE

Date: 9/17/2018

Series 7

Date: 8/10/2015

Current Firm

RLB FINANCIAL

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RLB FINANCIAL

TRUST BUT VERIFY

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