Steven James Thomas

Current Employers

Sgl Financial, Llc

1130 W Lake Cook Road Suite 150, Buffalo Grove, IL 60089 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2015-01-09

IL RA
APPROVED

Since 2015-01-09

Branch Locations

1130 W Lake Cook Road Suite 150, Buffalo Grove, IL 60089 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wealth Financial Advisory Services, Llc	Buffalo Grove	IL	07/2014	Present

07/2014 → Present

Wealth Financial Advisory Services, Llc

Buffalo Grove, IL

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1984-07-09

S63 Uniform Securities Agent State Law Examination

1984-07-09

View on SEC IAPD

Current Employers

Sgl Financial, Llc

Disclosures

Employment History

Exams

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