Marshall J Thomas

Current Employers

Employment History

• 11/2010 → 05/2023
  Lpl Financial Llc
  Seattle, WA
• 11/2012 → 05/2023
  Financial Advocates Investment Management
  Seattle, WA
• 05/2023 → Present
  Cetera Advisors Llc
  St Cloud, MN
• 05/2022 → Present
  Ronin Wealth Management
  Seattle, WA
• 01/2018 → Present
  Thomas Financial Corp
  Seattle, WA
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2012-11-28 → 2023-05-11
  Financial Advocates Investment Management
  Olympia, WA
  Seattle, WA
• 2010-11-02 → 2015-10-28
  Lpl Financial Llc
  Seattle, WA
• 2007-04-19 → 2010-10-19
  Northwestern Mutual Investment Services, Llc
  Seattle, WA
  Seattle, WA

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 04/05/2022, APX NUMBER OF HOURS PER WEEK: 2, NOT DURING TRADING HOURS, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: RONIN WEALTH MANAGEMENT, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 05/2022, POSITION/TITLE/RELATIONSHIP: PART OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS:20, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: THOMAS FINANCIAL CORP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 01/2018, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: TAX DEFERRED INCOME; 4. NAME OF OTHER BUSINESS: PACIFIC NORTHWEST EQUIPMENT INC; INVESTMENT RELATED: NO; ADDRESS: 7701 S 200TH ST, WASHINGTON 98032; NATURE OF BUSINESS: FAMILY COMPANY; START DATE: 05/2025; POSITION/TITLE/RELATIONSHIP: CHECK SIGNER; APX NUMBER OF HOURS PER WEEK: .05; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: AUTHORIZED CHECK SIGNER; 5. NAME OF OTHER BUSINESS: A CLEANER ALKI INVESTMENT RELATED: NO ADDRESS: 100 DEXTER AVE N SEATTLE WA 98109 NATURE OF BUSINESS: 501(C)(3) START DATE: 2/1/2026 POSITION/TITLE/RELATIONSHIP: DEVELOPMENT DIRECTOR APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I WILL BE CONTACTING LOCAL BUSINESSES IN SEATTLE AND INDIVIDUALS TO RAISE MONEY FOR A CLEANER ALKI.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-04-17
• S63 Uniform Securities Agent State Law Examination
  2002-10-23