David S. Thomas

EQUITAS CAPITAL ADVISORS,LLC

New Orleans, LA 70130

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CRD#: 717970

Professional summary

David Samuel Thomas JR, who also goes by Rocky Thomas, is a registered financial advisor currently at EQUITAS CAPITAL ADVISORS,LLC located in New Orleans, Louisiana.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rocky 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)EQUITAS CAPITAL ADVISORS LLC, INVESTMENT RELATED, 365 CANAL STREET, SUITE 3050 NEW ORLEANS LA 70130, RIA, CEO, SINCE 9/2002. 160 HOURS/MONTH ALL DURING TRADING HOURS, MANAGING PARTNER. 2) EQUITAS PARTNERS LLC, INVESTMENT RELATES, 365 CANAL STREET, SUITE 3050 NEW ORLEANS LA 70130, SINCE 5/2003, 80 HOURS/MONTH, MANAGING PARTNER.3) EQUITAS EVERGREEN FUND, LP; YES; 1377 MOTOR PARKWAY, STE. 406, ISLANDIA, NY 11749; HEDGE FUND OF FUNDS; MANAGING MEMBER OF THE GENERAL PARTNER; JUNE 2002; PORTFOLIO ADVISER, MEMBER OF THE INVESTMENT COMMITTEE FOR THE FUND, MARKET OFFERING TO NEW INVESTORS, AND CHIEF COMPLIANCE OFFICER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Samuel Thomas JR'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

October 12, 2012 - Present

EQUITAS CAPITAL ADVISORS,LLC

Office #1: 365 Canal Street Suite 3050, New Orleans, LA 70130

RIA

CRD#: 124471

New Orleans, LA

Past

June 1, 2006 - March 16, 2016

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

NEW ORLEANS, LA

Past

September 20, 2002 - December 11, 2003

PAN-AMERICAN INVESTMENT ADVISERS, INC.

RIA

CRD#: 111107

NEW ORLEANS, LA

Past

September 4, 2002 - November 30, 2005

PAN-AMERICAN FINANCIAL ADVISERS

CRD#: 15578

NEW ORLEANS, LA

Past

March 7, 1989 - September 9, 2002

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

NEW ORLEANS, LA

Past

March 7, 1989 - September 9, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 10, 1981 - March 14, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

October 29, 1980 - March 2, 1981

UNITED CAPITAL SECURITIES, INC.

CRD#: 7724

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".

EQUITAS CAPITAL ADVISORS,LLC

CRD#: 124471 / SEC#: 801-61979

RIA

Registered Investment Advisory firm - (4/17/2003 Approved)

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

Louisiana
(10/12/2012)

IAR

Texas
(4/4/2020)

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 65

Date: 3/22/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/24/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/16/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 12/13/1982

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 8/19/1982

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/18/1980

General Securities Representative Examination

Current Firm

EQUITAS CAPITAL ADVISORS,LLC

CRD#: 124471 / SEC#: 801-61979

RIA

Registered Investment Advisory firm - (4/17/2003 Approved)

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Contact information

Main Address

365 Canal Street Suite 3050, New Orleans, LA 70130

Mailing Address

Phone number

(504) 569-9600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EQUITAS CAPITAL ADVISORS PART 2A BROCHURE (3/26/2025)

EQUITAS CAPITAL ADVISORS PART 2A WRAP FEE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	45
AUM (Assets Under Management)	$ 201,430,863

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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David S. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Samuel Thomas JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

PAN-AMERICAN INVESTMENT ADVISERS, INC.

PAN-AMERICAN FINANCIAL ADVISERS

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

UNITED CAPITAL SECURITIES, INC.

Primary Firm SEC Registration

EQUITAS CAPITAL ADVISORS,LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/22/1993

Series 63

Date: 11/24/1980

SIE

Date: 3/16/2016

Series 15

Date: 12/13/1982

Series 3

Date: 8/19/1982

Series 7

Date: 10/18/1980

Current Firm

EQUITAS CAPITAL ADVISORS,LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EQUITAS CAPITAL ADVISORS,LLC

TRUST BUT VERIFY

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