James Martin Thomas

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/1992 → Present
  Usa Financial Services / Legacy Financial Corp.
  Colorado Springs, CO
• 12/1999 → 06/2024
  Securities America, Inc.
  Colorado Springs, CO
• 06/2001 → 06/2024
  Securities America Advisors, Inc.
  Colorado Springs, CO
• 06/2024 → Present
  Osaic Wealth, Inc.
  Colorado Springs, CO

Previous Registrations

• 2001-06-21 → 2024-06-14
  Securities America Advisors, Inc.
  Colorado Springs, CO
  Colorado Springs, CO

Other Businesses

1. RENTAL LEASE AGREEMENT IN OFFICE POSITION: Land Lord NATURE: Sub - lease part of my office space to a Estate Planning Attorney INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2004 ADDRESS: 719-380-0295, 7045 Campus Drive, Colorado Springs CO 80920 DESCRIPTION: The attorney rents Sutie #103 2. JIMZIE LLC POSITION: I own the property NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2007 ADDRESS: 1210 Dolan Drive, Monument CO 80132, United States DESCRIPTION: It is a rental property that I have had for 10 years. 3. LEGACY WEALTH MANAGMENT, INC. POSITION: President CFP NATURE: LEGACY WEALTH MANAGEMENT INC., INSURANCE SALES AND ESTATE PLANNING-- PRESIDENT - INVESTMENT RELATED- START DATE: 4/1987 LOCATED AT 7045 CAMPUS DRIVE SUITE 101 COLORADO SPRINGS, CO 80919 INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/01/1987 ADDRESS: 7045 Campus Drive, Colorado Springs CO 80920, United States DESCRIPTION: Insurance & Estate Planning 4. LEGACY WEALTH MANAGEMENT, INC. POSITION: Owner NATURE: SECURITIES AMERICA ADVISORS, INC. now Osaic Wealth - INVESTMENT ADVISOR REPRESENTATIVE- INVESTMENT ADVISORY- INVESTMENT RELATED- START DATE: 6/2001 LOCATED AT 7045 CAMPUS DRIVE SUITE 101 COLORADO SPRINGS, CO 80919 INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 90 START DATE: 06/01/2001 ADDRESS: 7045 Campus Drive, Colorado Springs CO 80920, United States DESCRIPTION: I am registered RIA representative with Osaic Wealth 5. RENTAL LEASE AGREEMENT IN OFFICE POSITION: Land Lord NATURE: Sub - lease part of my office space to a Estate Planning Attorney INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2004 ADDRESS: 719-380-0295, 7045 Campus Drive, Colorado Springs CO 80920, United States DESCRIPTION: The attorney rents Suite #103 I no longer rent the space out. I renewed my lease and the attorney has a lease directly with the landlord not me.

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-05-16
• S63 Uniform Securities Agent State Law Examination
  2000-03-16

Designations

• Certified Financial Planner