Robert V. Thomas

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CRD#: 7074517

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.

Robert V Thomas, who also goes by Robert VIncent Thomas, Robert Thomas, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2019. Robert had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert Vincent Thomas | Robert 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.

1.In accordance with Firm policy, employees must disclose Outside Business Activities. Are you currently engaged, or plan to be engaged, in any Outside Business Activities? Yes 3. Name of Organization/Company Superprof 4. Is the business investment related? No 5. Nature of the Business It is a tutoring website. I would be tutoring students in home economics, the part about balancing checkbooks and what is a debit card vs a credit card etc. Very basic personal finance. 6. Address of the Business It is a remote position. 7. Position/Title Tutor 8. The start date of your relationship Feb 17, 2024 9. Description of Duties I would be tutoring students in home economics, the part about balancing checkbooks and what is a debit card vs a credit card etc. Very basic personal finance. 10. Anticipated annual compensation from this activity Not sure 11. Do you have a financial interest in the organization/company? If yes, please explain. No 12. Approximate # of hours/week you devote to this outside activity during non-business hours 1 - 5 13. Approximate # of hours/week you devote to this outside activity during business hours 0 14. To your knowledge, is this organization/company a client of the Firm? No 15. If "Yes", detailed descriptions of the relationship between the two entities 16. To your knowledge, will your affiliation with this activity raise or be perceived as a potential conflict of interest? No ________________________________________

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 21, 2022 - February 10, 2025

ALIGHT FINANCIAL ADVISORS, LLC

RIA

CRD#: 158744

Boise, ID

Past

January 21, 2022 - February 10, 2025

ALIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 36509

CHICAGO, IL

Past

October 15, 2021 - December 10, 2021

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

June 11, 2021 - August 4, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

Meridian, ID

Past

September 9, 2020 - March 2, 2021

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

May 3, 2019 - August 10, 2020

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GREENWOOD VILLAGE, CO

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".

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA

Registered Investment Advisory firm - (9/13/2011 Approved)

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.

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: 7/19/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/10/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/3/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/4/2019

Securities Industry Essentials Examination

Current Firm

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA

Registered Investment Advisory firm - (9/13/2011 Approved)

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Contact information

Main Address

9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269

Mailing Address

Phone number

(866) 560-7256

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA ALIGHT IRA ADV PART 2A 2B 03.12.25 (3/31/2025)

AFA PROFESSIONAL MANAGEMENT ADV PART 2A 2B 3.12.25 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	197,089
AUM (Assets Under Management)	$ 30,882,928,556

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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Firm Stability Insights

Robert V. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALIGHT FINANCIAL SOLUTIONS, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

MML INVESTORS SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

ALIGHT FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/19/2021

Series 63

Date: 5/10/2019

Series 7TO

Date: 5/3/2019

SIE

Date: 4/4/2019

Current Firm

ALIGHT FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALIGHT FINANCIAL ADVISORS, LLC

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