Role at Sequoia Financial Advisors
- Title on Schedule A
- EVP, Chief Strategy & Partnership Officer
- Control
- Christopher Thom is a control person of Sequoia Financial Advisors.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Christopher Thom has held the filed role since June 2024.
The firm
Form ADV filed 24 August 2026
Career on record
Christopher Thom has been registered through Sequoia Financial Advisors since June 2024, and before that through Rwa Wealth Partners, Polaris Wealth Advisory Group, Financial Engines Advisors L.l.c., Schwab Private Client Investment Advisory, Inc., Jwa Financial Group, Inc., Usaa Financial Planning Services and Signal Securities, Inc..
- – present · 2 years, · Adviser representative · Firm CRD 117756
- Rwa Wealth Partners– · 1 yearFort Worth, TX · Adviser representative · Firm CRD 156984
- Polaris Wealth Advisory Group– · 1 yearFort Worth, TX · Adviser representative · Firm CRD 158718
- Financial Engines Advisors L.l.c.– · 3 yearsFort Worth, TX · Adviser representative · Firm CRD 104510
- Passed SIE · 2018
- Schwab Private Client Investment Advisory, Inc.– · 7 yearsLone Tree, CO · Adviser representative · Firm CRD 159035
- Jwa Financial Group, Inc.– · 1 yearDallas, TX · Adviser representative · Firm CRD 114646
- Passed Series 24 · 2010
- Usaa Financial Planning Services– · 5 yearsSan Antonio, TX · Adviser representative · Firm CRD 106352
- Passed Series 7 · 2005
- Signal Securities, Inc.– · 1 yearArlington, TX · Adviser representative · Firm CRD 15916
- Passed Series 6 and Series 63 · 2001
Registrations and exams
Christopher Thom has a current investment-adviser registration in Ohio and has passed 5 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Ohio | Investment adviser representative | Approved | 17 June 2024 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 11 October 2001 |
| Series 24 | General Securities Principal Examination | 22 March 2010 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 20 December 2005 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 25 August 2001 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- Christopher Brian Thom
- CRD
- 3137473
- Registration status
- Investment adviser registration
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Christopher Thom work?
Christopher Thom has been EVP, Chief Strategy & Partnership Officer of Sequoia Financial Advisors, L.L.C. since June 2024, and is a control person of the firm.
Is Christopher Thom a financial advisor?
Yes. Christopher Thom has a current investment-adviser registration in Ohio, through Sequoia Financial Advisors since June 2024, as of 17 October 2026.
How many years of experience does Christopher Thom have?
Christopher Thom has worked in the financial industry for 24 years as of 17 October 2026, counted from 25 March 2002, across 8 adviser firms.
What exams has Christopher Thom passed?
Christopher Thom has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 24 and SIE. The earliest, the Series 6, was passed in August 2001.
Where did Christopher Thom work before Sequoia Financial Advisors?
Before Sequoia Financial Advisors, Christopher Thom was registered through Rwa Wealth Partners, March 2023 to May 2024; Polaris Wealth Advisory Group, March 2023 to November 2023; Financial Engines Advisors L.l.c., April 2020 to March 2023; Schwab Private Client Investment Advisory, Inc., October 2012 to December 2019; Jwa Financial Group, Inc., September 2011 to October 2012; Usaa Financial Planning Services, April 2006 to September 2011; Signal Securities, Inc., August 2005 to March 2006.
Leadership at Sequoia Financial Advisors
- Stephanie HanayikSenior Vice President, Chief Compliance Officer, Chief Risk Officer
- Jennifer KochSenior Vice President, Organizational Development
- Michael MarhoferExecutive Vice President, Secretary & General Counsel
- Annelise McCauleyPresident, Interim Chief Operating Officer
- Michael MordohVice President, Head of Operations
- Nicholas ZamparelliSenior Vice President, Chief Investment Officer
- Kevin TichnellEVP, Chief Strategy & Acquisitions Officer, Interim Chief Financial Officer
- Trevor ChunaChief Technology Officer
- Thomas HaughtChairman, CEO
- Norborne SmithHead of Sequoia Sentinel Family Office
- Justin StetsEVP, Head of Integrated Wealth Services