Daniel Peter 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

• 06/1997 → Present
  Thomas Financial Group Llc
  Troy, MI
• 01/2004 → Present
  Ing Financial Partners Inc.
  Des Moines, IA

Previous Registrations

• 2010-03-05 → 2018-12-26
  Affiliated Advisors, Inc.
  Troy, MI
• 1997-06-23 → 2004-05-28
  Voya Financial Advisors, Inc.
  Troy, MI

Other Businesses

1. THOMAS FINANCIAL GROUP LLC POSITION: Owner - NATURE: Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/1997 ADDRESS: 901 Tower Dr, Suite #180, Troy MI 48098, United States DESCRIPTION: I engage in the sale and service of fixed life, annuity, long term care insurance, fixed annuities 2. DANIEL P THOMAS JR, AN INSURANCE AGENT POSITION: Agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/01/2020 ADDRESS: 901 Tower Dr, Suite 180, Troy MI 48098, United States DESCRIPTION: I've been working with AdvisorShare, an IMO writing fixed annuity business as an Approved Outside Business Activity since before their formation in April of 2020. 3. DANIEL & NANCY THOMAS POSITION: Joint Owner NATURE: I purchased a Condo as we plan to downsize our primary residence next year. In the meantime I am renting it out until we sell that primary home next year. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2024 ADDRESS: 105 Sandhills, Lake Orion MI 48360, United States DESCRIPTION: I rented this residential property to a family for 1 1/2 years. I act in the capacity of a landlord. 4. DANIEL P THOMAS JR, AN INSURANCE AGENT POSITION: Agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/01/2020 ADDRESS: 901 Tower Dr, Suite 180, Troy MI 48098, United States DESCRIPTION: I've been working with AdvisorShare, an IMO writing fixed annuity business as an Approved Outside Business Activity since before their formation in April of 2020. They have been an outstanding partner for my team at Thomas Financial Group, LLC (TFG) as it relates to providing new business support, access to top contracts, and demonstrating a high level of product knowledge to help me better serve my clients.We've enjoyed a transparent relationship which has allowed me to earn a fair, competitive compensation rate on the fixed annuity business that I place through them. Our agreement is one where I earn 100% of street commission and because of our significant production they share a split of their overrides which is then paid to TFG.Since April of 2020 they have reinvented themselves by creating robust alliances and an ownership opportunity to earn stock through production and a vesting model that is simple and one that Osaic has approved my participation with. Simply put, when I produce I earn shares of stock in the company. We hope some day there is a marketable value to these privately held shares. In the meantime, have no management say, advisory input or control with this company.The business I write and the revenue I generate their firm will earn advisors B shares which is explained in the Operating Agreement Tom Rippberger sent to you. Also forwarded was the example version of The Unit Grant Agreement participating advisors sign each year and AdvisorShare uses to track ownership interest of each advisor or advisory firm.The ownership value proposition is one I have not participated in thus far. To the extent I am very pleased with their firm's other value adds as we continue to write business through AdvisorShare and our relationship has become more meaningful with each piece of business we write. Respectfully,Daniel P Thomas Jr CLU, ChFC, CFP (F5C)

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-11-25
• S63 Uniform Securities Agent State Law Examination
  1983-12-07

Designations

• Certified Financial Planner