Mark A Thomas

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

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

Current Employers

Employment History

• 12/2011 → 11/2018
  Western Southern Life
  Charlotte, NC
• 07/2012 → 11/2018
  W&S Brokerage Services
  Cincinnati, OH
• 11/2018 → 11/2020
  American United Life
  Charlotte, NC
• 12/2018 → 11/2020
  Oneamerica Securities
  Charlotte, NC
• 11/2020 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 02/2024 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2018-09-07 → 2018-11-29
  W&S Brokerage Services, Inc.
  Concord, NC
  Charlotte, NC

Other Businesses

1) MARK THOMAS - FIXED INSURANCE, 845 Church Street N, Suite 208-15, Concord NC 28025, United States, 01/05/2012, Agent, Insurance/Benefits/Human Resources, NIR, 80 HR/MO - 48 HR/MO TRADING 2) MARK THOMAS, PO BOX 690785 MINT HILL NC, NOTARY PUBLIC, 12/2015, NIR, 1 HR/MO 0 HR/MO TRADING 3) CABARRUS AREA CRIME STOPPERS, PO Box 5185, Concord NC 28027, United States, 09/15/2013, Board Member, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2 HR/MO - 0 HR/MO TRADING 4) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 02/2024, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO 40 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-02-17
• S63 Uniform Securities Agent State Law Examination
  2013-03-30

Other Names

• Mark A Thomas
• Mark Andrew Thomas