Stephen H. 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.
Stephen Harl Thomas, who also goes by Stephen Harlan Thomas, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1978. Stephen had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2007 - June 30, 2021
REGAL SECURITIES, INC.
July 19, 2001 - December 31, 2006
SAMCO FINANCIAL SERVICES, INC.
February 1, 2001 - August 3, 2001
SERVICE ASSET MANAGEMENT COMPANY
March 2, 1998 - February 16, 1999
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
May 1, 1997 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
May 3, 1994 - May 16, 1997
LEGG MASON WOOD WALKER, INCORPORATED
July 31, 1993 - May 16, 1994
CITIGROUP GLOBAL MARKETS INC.
March 15, 1983 - July 31, 1993
LEHMAN BROTHERS INC.
June 22, 1978 - March 21, 1983
ROTAN MOSLE INC.
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 5
Date: 9/16/1985
Interest Rate Options ExaminationSeries 15
Date: 12/9/1983
Foreign Currency Options ExaminationSeries 8
Date: 7/15/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
REGAL SECURITIES, INC.
CRD#: 7297 / SEC#: , 8-21765
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOKIOS, GEORGE | CHAIRMAN OF THE BOARD/SOLE DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF FINANCIAL OFFICER | 718774 |
| VILLAFLOR, ROBERT FUSTER | SHAREHOLDER | 2374555 |
| AKSOMITAITE, SKAISTE | VICE PRESIDENT AND FINOP | 4852873 |
| BOKIOS, EUGENIA THEADORA MS | SENIOR VICE PRESIDENT & GENERAL COUNSEL | 2392199 |
| BOKIOS, VICTORIA THEADORA | TREASURER/SECRETARY | 2421318 |
| ENGELBRECHT, JEREMY AARON | CHIEF COMPLIANCE OFFICER (INTERIM) | 3277607 |
| HERRIN, SHAWN EVERETT | PRESIDENT | 2311476 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 4 |
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.
