CT
Caleb D. Thomas
ONEASCENT FINANCIAL SERVICES LLC
Crystal Lake, IL 60014
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CRD#: 7219814
CT
Professional summary
Caleb Dean Thomas, who also goes by Caleb Thomas, is a registered financial advisor currently at ONEASCENT FINANCIAL SERVICES LLC located in Crystal Lake, Illinois and PURSHE KAPLAN STERLING INVESTMENTS located in Crystal Lake, Illinois.
Caleb is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Caleb has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Caleb 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) One Ascent Financial Services dba The Cornerstone Financial Group. Investment-related. At registered location. RIA. Advisor Assistant. Start date: 03/2023. 80 hrs/month; all during trading hours. Assisting in the administrative tasks in the office, preparing financial plans and assisting in meeting preparation. 2) Purshe Kaplan Sterling Investments ("PKS"). Investment related. At registered location. Broker dealer. Start date: 03/2023. 80 hrs/month; all during trading hours. Investment adviser representative.
CRS (Client Relationship Summary) - RIA
Click below to view Caleb Dean Thomas's 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®
NoneExperience
Current
February 22, 2024 - Present
ONEASCENT FINANCIAL SERVICES LLC
Office #1: 181 North Virginia Street Unit A, Crystal Lake, IL 60014RIA
CRD#: 284549
Crystal Lake, IL
Current
May 19, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 181 North Virginia Street Unit A, Crystal Lake, IL 60014BD
CRD#: 35747
Crystal Lake, IL
Past
February 21, 2020 - November 21, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HUNTLEY, IL
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".
OF
ONEASCENT FINANCIAL SERVICES LLC
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | SOVEREIGN PRIVATE WEALTH | SOVEREIGN FAMILY OFFICE | SOLOMON PRIVATE WEALTH | RIVER OAK FINANCIAL | RESOLUTE CAPITAL GROUP | PWJOHNSON WEALTH MANAGEMENT | PURE CAPITAL SPORTS | PURE CAPITAL ADVISORS | PROVIDENT OAK FINANCIAL | PROVIDENCE FINANCIAL ADVISORS | PEARSON & ASSOCIATES | ONEASCENT FINANCIAL SERVICES LLC | LONE OAK FINANCIAL SERVICES | LIFE&WEALTH ADVISORS | LEGATUM GROUP | JB STARK FINANCIAL LLC | HARDT FINANCIAL GROUP | HAMPTON SQUARE WEALTH MANAGEMENT | FRANKLIN WEALTH MANAGEMENT | FLIGHT FINANCIAL ADVISORS | FINANCIAL STRATEGIES GROUP | ENOUGH WEALTH | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
CRD#: 284549 / SEC#: 801-108265
RIA
Registered Investment Advisory firm - (8/24/2016 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(5/23/2023)
IAR
Illinois(2/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 2/21/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OF
ONEASCENT FINANCIAL SERVICES LLC
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | SOVEREIGN PRIVATE WEALTH | SOVEREIGN FAMILY OFFICE | SOLOMON PRIVATE WEALTH | RIVER OAK FINANCIAL | RESOLUTE CAPITAL GROUP | PWJOHNSON WEALTH MANAGEMENT | PURE CAPITAL SPORTS | PURE CAPITAL ADVISORS | PROVIDENT OAK FINANCIAL | PROVIDENCE FINANCIAL ADVISORS | PEARSON & ASSOCIATES | ONEASCENT FINANCIAL SERVICES LLC | LONE OAK FINANCIAL SERVICES | LIFE&WEALTH ADVISORS | LEGATUM GROUP | JB STARK FINANCIAL LLC | HARDT FINANCIAL GROUP | HAMPTON SQUARE WEALTH MANAGEMENT | FRANKLIN WEALTH MANAGEMENT | FLIGHT FINANCIAL ADVISORS | FINANCIAL STRATEGIES GROUP | ENOUGH WEALTH | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
CRD#: 284549 / SEC#: 801-108265
RIA
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Contact information
Main Address
23 Inverness Parkway, Birmingham, AL 35242
Mailing Address
Phone number
(205) 313-9142
Established
Firm type
Fiscal year end
# of Employees
125
SEC notice filing (43 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,150 |
| AUM (Assets Under Management) | $ 2,610,953,335 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
