Neil Thom (CRD# 1372954) is an Investment Advisor Representative working at Independent Financial Group, LLC in San Luis Obispo, CA and has over 38 years of experience in the finance industry.
CRD# 1633454
Lpl Financial LLC
CRD# 6342307
San Luis Wealth Advisors
CRD# 4781575
J.p. Morgan Securities LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Independent Financial Group | San Luis Obispo, CA | Sep 2017 - Current | 6 |
| The Thom Group | San Luis Obispo, CA | Feb 2001 - Current | 23 |
| First Allied Advisory Services, Inc. | Chesterfield, MO | Jul 2012 - Sep 2017 | 5 |
| First Allied Securities, Inc. | San Diego, CA | Jun 2005 - Aug 2017 | 12 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jul 1985 |
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- CA
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Total Assets Under Management6,751MILLIONS
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Total Number of Accounts30,369ACCOUNTS
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Average Account Value$222,295
- A percentage of assets under your management
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