Steven W. 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 Wayne Thomas, who also goes by Steve Thomas, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1976. Steven had worked at 11 firms and has passed the Series 65, Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2017 - December 1, 2022
IFC
March 8, 2002 - December 15, 2011
CETERA ADVISORS LLC
March 6, 2001 - December 15, 2011
CETERA ADVISORS LLC
February 2, 1997 - March 23, 2001
PRINCIPAL SECURITIES, INC.
November 13, 1990 - December 31, 1996
WOODBURY FINANCIAL SERVICES, INC.
August 1, 1989 - September 26, 1990
WS GRIFFITH SECURITIES, INC.
August 1, 1989 - September 26, 1990
HOME LIFE INSURANCE COMPANY
April 10, 1989 - June 6, 1989
CETERA WEALTH SERVICES, LLC
September 24, 1987 - April 10, 1989
AMERICAN PACIFIC SECURITIES CORPORATION
November 3, 1986 - October 3, 1987
WOODBURY FINANCIAL SERVICES, INC.
January 21, 1984 - December 23, 1985
NEW ENGLAND SECURITIES
August 3, 1982 - December 28, 1983
WS GRIFFITH SECURITIES, INC.
June 16, 1980 - November 11, 1982
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 4, 1976 - November 27, 1979
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
IFC
CRD#: 283976 / SEC#: 801-133751
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 1
Date: 5/28/1976
Registered Representative ExaminationCurrent Firm
IFC
CRD#: 283976 / SEC#: 801-133751
Contact information
SEC notice filing (8 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 1,255 |
| AUM (Assets Under Management) | $ 110,292,865 |
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.
