Steven Thomas Email & Phone Number
President - Compliance Specialist
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Steven Thomas Location
- Libertyville, IL, US
Steven Thomas Work
- President - Compliance Specialist @ Thomas RIA Compliance, LLC (July 2018 - Present)
- Chief Compliance Officer @ (September 2025 - Present)
- Chief Operating Officer and Chief Compliance Officer @ (July 2014 - September 2025)
- Chief Operating Officer and Chief Compliance Officer @ (July 2014 - September 2025)
- Director - Compliance Consultant @ (September 2010 - June 2014)
- Chief Compliance Examiner @ (October 2003 - September 2010)
- President and Owner @ Thomas Marketing Group, Inc. (TMG, Inc.) (April 1990 - August 2003)
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 President - Compliance Specialist at Thomas RIA Compliance, LLC. Steven Thomas brings experience from previous roles at SGL Financial 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 1 mobile phone numbers on RocketReach.
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