Stephen Michael Thomas

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 12/2013 → Present
  Lpl Financial Llc
  Asheville, NC

Previous Registrations

• 2013-12-18 → 2014-05-02
  Independent Advisor Alliance, Llc
  Siler City, NC
• 2009-10-05 → 2013-12-18
  Edward Jones
  Siler City, NC
  Greensboro, NC
  St Louis, MO
• 2013-02-15 → 2013-02-21
  Wells Fargo Clearing Services, Llc
  Raleigh, NC
  Siler City, NC

Other Businesses

1. 6/5/2017: Valor Private Wealth, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/26/2015 - 0 Hours Per Month. 2. 11/23/2021 - Advisors Financial Group, Inc. and Sage Insurance Partners - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Agent - Started 03/30/2016 - 5 Hours Per Month During Securities Trading. 3. 12/22/2022 - Asheville Buncombe Youth Soccer Organization - Not Investment Related - Hendersonville, NC - Outside/W-2 Employment - Start Date: 09/01/2022 - 7 Hours Per Month/0 Hours During Securities Trading 4. 03/23/2026 - Real Estate Rental - Investment Related - Mills River, NC - Start Date 03/01/2026 - 1 hour per month/ 0 hours during trading 5. 05/11/2026 - Real Estate Rental - Investment Related - Asheville, NC - Start Date 07/01/2026 - 9 hours per month/ 2 hours during trading 6. 05/12/2026 - Real Estate Rental - Investment Related - Mills River, NC - Start Date 05/22/2026 - 4 hours per month/ 0 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2009-10-02

Other Names

• Stephen Thomas