Steven Thomas
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.
Steven Thomas, who also goes by Steven B Thomas, Steven Bernard Thomas, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2022. Steven had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2025 - August 31, 2026
VISTIA CAPITAL, LLC
September 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
Exams
Series 7TO
Date: 9/8/2022
General Securities Representative ExaminationCurrent Firm
VISTIA CAPITAL, LLC
CRD#: 311342 / SEC#: , 8-70643
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
