Steven Wayne Thomas
Professional Summary
Steven Wayne Thomas, who also goes by Steve Thomas, was a registered financial advisor. Steven was a previously registered financial professional and started their career in finance 1976 - 2022. Steven had worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Steve Thomas
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
50 years in the financial services industry
Current & Past Employments
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Current Firm
BEKKI HARPER FINANCIAL | WISE MONEY INFO | TRUE WEALTH GROUP | THE RETIREMENT GUARDIAN | SPECTRUM RETIREMENT SOLUTIONS | ROCKY MOUNTAIN FINANCIAL | INTEGRATED FINANCIAL CONCEPTS, INC. | IFC AND INSURANCE MARKETING, INC. | IFC
Contact Information
Main Address
102 El Dorado St., Auburn, CA 95603Phone Number
(530) 886-8550# of Employees
7SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,421AUM (Assets Under Management)
$173,456,003Similar Advisors
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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.
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Primary Firm SEC Registration
BEKKI HARPER FINANCIAL | WISE MONEY INFO | TRUE WEALTH GROUP | THE RETIREMENT GUARDIAN | SPECTRUM RETIREMENT SOLUTIONS | ROCKY MOUNTAIN FINANCIAL | INTEGRATED FINANCIAL CONCEPTS, INC. | IFC AND INSURANCE MARKETING, INC. | IFC
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed May 1976Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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