Andrew Thomas has been Passive Investor of Axxcess Wealth Management since November 2023, is not listed as a control person, but directly owns under 5% of the firm.
Axxcess Wealth Management, LLC is a Carlsbad, CA firm with $8.88B under management, 10,357 clients and 44 advisers across 27 offices, as of its March 2026 filing.
Andrew Thomas’ longest registration is the current one, 11 years at Axxcess Wealth Management since 2015. Before joining Axxcess Wealth Management in 2022, Andrew Thomas was registered through Arete Wealth Advisors, LLC.
- – present · 11 yearsBaton Rouge, LA · Adviser representative · Firm CRD 164081
- Arete Wealth Advisors, LLC– · 10 yearsBaton Rouge, LA · Adviser representative · Firm CRD 145488
Investment adviser representative registrations
Andrew Thomas is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in January 2022.
- LouisianaSince 31 January 2022
- TexasResidentSince 19 January 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 3 September 2009 |
| Series 86 | Research Analyst Exam - Part I Analysis Module | 22 November 2004 |
| Series 87 | Research Analyst Exam - Part II Regulations Module | 11 October 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 December 2000 |
| Series 7 | General Securities Representative Examination | 6 November 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Research Analyst Exam - Part I Analysis Module
- Name
- Research Analyst Exam - Part II Regulations Module
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Andrew Fowler Thomas
- CRD
- 4278972
- Firm
- Axxcess Wealth Management · CRD 164081
- Role
- Passive Investor
- Office
- 1800 City Farm Drive, Bldg 4 Suite A, Baton Rouge, LA 70806
- Registration
- Investment adviser registration
- In the industry since
- November 2000
- Disciplinary history
- Not yet shown here · SEC record
Where does Andrew Thomas work?
Andrew Thomas has been Passive Investor of Axxcess Wealth Management, LLC since November 2023.
Is Andrew Thomas a financial advisor?
Yes. Andrew Thomas has a current investment-adviser registration in Louisiana and Texas, through Axxcess Wealth Management since January 2022.
How many years of experience does Andrew Thomas have?
Andrew Thomas has 25 years in the financial industry, since November 2000, across 2 adviser firms.
What exams has Andrew Thomas passed?
Andrew Thomas has passed 5 licensing exams: the Series 7, Series 63, Series 87, Series 86 and Series 65. The earliest, the Series 7, was passed in November 2000. FINRA credited Andrew Thomas with the SIE, which began in October 2018.
Where did Andrew Thomas work before Axxcess Wealth Management?
Before Axxcess Wealth Management, Andrew Thomas was registered through Arete Wealth Advisors, LLC, August 2009 to March 2020.
Where is Andrew Thomas based?
Andrew Thomas’ registered office is in Baton Rouge, LA.
Is Andrew Thomas registered with FINRA?
No. Andrew Thomas has no current broker registration.
How can I verify Andrew Thomas’ record?
Search CRD 4278972 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Andrew Thomas’ full registration record.
