Steven Thomas Location
- Libertyville, IL, US
Steven Thomas Work
- 2025 - now Chief Compliance Officer @
- 2014 - 2025 Chief Operating Officer and Chief Compliance Officer @
- 2014 - 2025 Chief Operating Officer and Chief Compliance Officer @
- 2018 - now President - Compliance Specialist @ Thomas RIA Compliance, LLC
- 2010 - 2014 Director - Compliance Consultant @
- 2003 - 2010 Chief Compliance Examiner @
- 1990 - 2003 President and Owner @ Thomas Marketing Group, Inc. (TMG, Inc.)
Steven Thomas Education
- Central Texas College
BS (Carrer Aviation / Computer Science)
1988 - 1990 - Mitchell Senior High
High School Diploma (General Studies)
1971 - 1975
Steven Thomas Skills
- Securities
- Investment Advisory
- Investments
- Securities Regulation
- FINRA
- Mutual Funds
- Series 63
- Compliance Consulting
- USA PATRIOT Act
- Financial Services
- Asset Management
- Wealth Management
- Alternative Investments
- Finance
- Financial Regulation
- Investment Management
Steven Thomas Summary
- Steven Thomas, based in Libertyville, IL, US, is currently a Chief Compliance Officer at SGL Financial. Steven Thomas brings experience from previous roles at SGL Financial, Thomas RIA Compliance, LLC and Lexington Compliance - The On-Going Compliance Division of RIA in a Box. Steven Thomas holds a 1988 - 1990 BS in Carrer Aviation / Computer Science @ Central Texas College. With a robust skill set that includes Securities, Investment Advisory, Investments, Securities Regulation, FINRA and more. Steven Thomas has 2 emails and 2 mobile phone numbers on RocketReach.
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