Steven B. Thomas
Professional summary
Steven Bernard Thomas, who also goes by Steven B Thomas, Steven Bernard Thomas, is a registered financial professional currently at VISTIA CAPITAL, LLC located in Castle Rock, Colorado.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2022. Steven has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Bernard Thomas's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2025 - Present
VISTIA CAPITAL, LLC
Office #1: 202 6th Street, Suite 303, Castle Rock, CO 80104September 12, 2024 - November 14, 2024
MML INVESTORS SERVICES, LLC
September 11, 2024 - November 14, 2024
MML INVESTORS SERVICES, LLC
June 6, 2024 - July 23, 2024
EQUITABLE ADVISORS, LLC
June 6, 2024 - July 23, 2024
EQUITABLE ADVISORS, LLC
January 8, 2024 - May 15, 2024
USAA INVESTMENT SERVICES COMPANY
July 21, 2023 - May 15, 2024
USAA INVESTMENT SERVICES COMPANY
September 8, 2022 - March 13, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/10/2025)
Exams
Series 7TO
Date: 9/8/2022
General Securities Representative ExaminationFINRA
Current Firm
VISTIA CAPITAL, LLC
CRD#: 311342 / SEC#: , 8-70643
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
VISTIA CAPITAL, LLC
CRD#: 311342Castle Rock, CO 80104TRUST BUT VERIFY
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