James Thomas (CRD# 3080801) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Colorado Springs, CO and has over 24 years of experience in the finance industry. James Thomas has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 6403098
Rfg Advisory, LLC
CRD# 2202065
Adelmann Financial, Inc.
CRD# 6728761
T. Rowe Price Advisory Services, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Securities America Advisors, Inc. | Colorado Springs, CO | Jun 2001 - Current | 22 |
| Securities America, Inc. | Colorado Springs, CO | Dec 1999 - Current | 24 |
| Usa Financial Services / Legacy Financial Corp. | Colorado Springs, CO | Nov 1992 - Current | 31 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Mar 2000 |
| S65 | NASAA Investment Advisors Law Examination | May 2001 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CO
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Total Assets Under Management40,420MILLIONS
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Total Number of Accounts211,150ACCOUNTS
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Average Account Value$191,430
- A percentage of assets under your management
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