Harold G. 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.
Harold George Thomas JR, who also goes by Hal Thomas, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 2000. Harold had worked at 5 firms and has passed the Series 66, 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
August 29, 2012 - January 7, 2015
BUCKINGHAM STRATEGIC WEALTH, LLC
April 18, 2006 - December 21, 2012
FOUNDERS FINANCIAL NETWORK, LLC
February 7, 2000 - April 19, 2006
FOUNDERS FINANCIAL NETWORK
February 3, 2000 - April 11, 2000
IDS LIFE INSURANCE COMPANY
February 3, 2000 - April 11, 2000
AMERIPRISE FINANCIAL 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 1
Date: 3/17/1977
Registered Representative ExaminationCurrent Firm
BUCKINGHAM STRATEGIC WEALTH, LLC
CRD#: 143323 / SEC#: 801-67640
Contact information
Regulatory assets under management
| Total Number of Accounts | 51,749 |
| AUM (Assets Under Management) | $ 29,509,452,509 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/24/2024 | ||
| 07/22/2022 |
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.
