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1099 Main Ave Suite 206, Durango, CO 81301 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2021-02-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wbi Investments | Red Bank | NJ | 08/2012 | 08/2017 |
| Quasar Distributors, Llc | Milwaukee | WI | 08/2012 | 12/2016 |
| Foreside Fund Services, Llc | San Francisco | CA | 01/2017 | 08/2017 |
| Swan Global Investments, Llc | Durango | CO | 10/2017 | 04/2019 |
| Northern Lights Distributors, Llc | Elkhorn | NE | 10/2017 | 04/2019 |
| Sammons Financial Network, Llc | Des Moines | IA | 04/2019 | 01/2021 |
| Sammons Retirement Solutions | Des Moines | IA | 04/2019 | 12/2020 |
| Swan Global Investments, Llc | Durango | CO | 01/2021 | Present |
| Northern Lights Distributors, Llc | Elkhorn | NE | 03/2021 | Present |
MR. THOMAS IS THE OWNER OF A RENTAL PROPERTY LOCATED AT 9 MAPLE WAY, HULL, MA 02045 WHERE HE SPENDS APPROXIMATELY 3 HOURS PER MONTH FACILITATING REPAIRS OR SERVICE AND COLLECTION OF RENTAL INCOME. HE BEGAN THIS NON INVESTMENT RELATED ACTIVITY IN OCTOBER 2012.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 2000-02-18 |
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