Gary Francis 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

• 02/1996 → 05/2016
  Transamerica Financial Advisors, Inc.
  Westfield, MA
• 10/2000 → Present
  Wealth Technology Group
  Westfield, MA
• 05/2016 → 11/2018
  Signator Investors, Inc.
  Nashville, TN
• 11/2018 → Present
  Osaic Wealth, Inc.
  Westfield, MA

Previous Registrations

• 2016-12-15 → 2018-11-02
  Signator Investors, Inc.
  Westfield, MA
  Charleston, SC
  Westfield, MA
  Nashville, TN
  Gold River, CA
  Pittsfield, MA
• 2010-02-08 → 2016-05-13
  Transamerica Financial Advisors, Llc
  Northampton, MA
  North Adams, MA
  Pittsfield, MA
  Westfield, MA
  San Diego, CA

Other Businesses

1) THE WEALTH TECHNOLOGY GROUP POSITION: owner agent IAR NATURE: sole proprietor Gary Thomas DBA, The Wealth Technology Group INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/15/2000 ADDRESS: 130 Southampton Rd, Westfield, MA 01085 DESCRIPTION: I provide and sell insurance. annuities, as an IAR, as well as do occasional fixed insurance, disability, and LTC 2) TRUSTEE BOARD MEMBER WESTERN NEW ENGLAND UNIVERSITY POSITION: Member NATURE: University, Volunteer Board Member, INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 09/12/2018 ADDRESS: 1215 State St, Springfield, MA 01119 DESCRIPTION: Review University Business along with approximately 30 other trustees @ quarterly meetings. May do some committee work along the way 3) GARY F THOMAS, LAWYER POSITION: Lawyer NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 8 START DATE: 01/15/1977 ADDRESS: 130 Southampton Road, Westfield, MA 01085, United States DESCRIPTION: I am a Lawyer and Mediator. I prepare estate planning documents as well as provide estate planning advice. In my capacity as a lawyer and mediator, from time to time, I assist individuals who are considering divorce. My Legal OBA has been disclosed on my U4 for many years 4) GARY F THOMAS , LAWYER POSITION: Lawyer NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 8 START DATE: 01/15/1977 ADDRESS: 98 Lower Westfield Road, Suite 109, Westfield, MA 01040, United States DESCRIPTION: I am a Lawyer and Mediator. I prepare estate planning documents as well as provide estate planning advice. In my capacity as a lawyer and mediator, from time to time, I assist individuals who are considering divorce. My Legal OBA has been disclosed on my U4 for many years 5) WEALTH TECHNOLOGY INSURANCE POSITION: Agent NATURE: Sole Proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 6 START DATE: 04/15/2000 ADDRESS: 130 Southampton Rd, Westfield, MA 01085, United States DESCRIPTION: Long-term Care, Term Life Insurance, and Conventional UL, WL, and Second to Die products and fixed annuities. 6) WEALTH TECHNOLOGY INSURANCE POSITION: Agent NATURE: Sole Proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 6 START DATE: 04/15/2000 ADDRESS: 98 Lower Westfield Road, Suite 109, Holyoke, MA 01040, United States DESCRIPTION: Long-term Care, Term Life Insurance and Conventional UL, WL, and Second to Die products and fixed annuities. 7) THE WEALTH TECHNOLOGY GROUP POSITION: Owner/ IAR NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 04/15/2000 ADDRESS: 98 Lower Westfield Road, Suite 109, Holyoke MA 01040, United States DESCRIPTION: Sales/ marketing of securities, investment advisory and insurance products.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-08-09
• S63 Uniform Securities Agent State Law Examination
  1991-09-03

Designations

• Chartered Financial Consultant