Christopher Thomas has been Managing Member & Chief Compliance Officer of Align Wealth Management since September 2022, is a control person of the firm and directly owns 75% or more of it.
Align Wealth Management, LLC is a San Jose, CA firm with $117M under management, 69 clients and 2 advisers across 2 offices, as of its August 2026 filing.
Chris Thomas is CEO and Wealth Advisor of Align Wealth Management. He has been a Wealth Advisor since 2001, bringing more than two decades of experience to clients. He provides comprehensive planning and advice across all areas of wealth management.
Christopher Thomas’ longest registration was 12 years at Vantage Wealth Management, LLC (2010–2022). Before joining Align Wealth Management in 2022, Christopher Thomas was registered through Vantage Wealth Management, LLC and Securian Financial Services, Inc.
- Align Wealth Management, LLCCurrent– present · 3 yearsSan Jose, CA · Adviser representative · Firm CRD 323615
- Vantage Wealth Management, LLC– · 12 yearsSan Mateo, CA · Adviser representative · Firm CRD 152374
- Securian Financial Services, Inc.– · 9 yearsSan Jose, CA · Adviser representative · Firm CRD 15296
Professional designations
Listed by Align Wealth Management
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Christopher Thomas is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from November 2022; the most recent is Arizona, in January 2024.
- ArizonaSince 1 January 2024
- CaliforniaSince 1 November 2022
- TexasResidentSince 9 December 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 1 January 2024 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 18 May 2001 |
| Series 7 | General Securities Representative Examination | 21 March 2001 |
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Christopher John Thomas
- CRD
- 4306408
- Firm
- Align Wealth Management · CRD 323615
- Role
- Managing Member & Chief Compliance Officer
- Office
- 1850 HAMILTON AVE, San Jose, CA 95125
- Registration
- Investment adviser registration
- In the industry since
- January 2001
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- alignwealthmgmt.com
Where does Christopher Thomas work?
Christopher Thomas has been Managing Member & Chief Compliance Officer of Align Wealth Management, LLC since September 2022, and is a control person of the firm.
Is Christopher Thomas a financial advisor?
Yes. Christopher Thomas has a current investment-adviser registration in Arizona, California and Texas, through Align Wealth Management since November 2022.
How many years of experience does Christopher Thomas have?
Christopher Thomas has 25 years in the financial industry, since January 2001, across 3 adviser firms.
What exams has Christopher Thomas passed?
Christopher Thomas has passed 3 licensing exams: the Series 7, Series 66 and Series 7TO. The earliest, the Series 7, was passed in March 2001. FINRA credited Christopher Thomas with the SIE, which began in October 2018.
Where did Christopher Thomas work before Align Wealth Management?
Before Align Wealth Management, Christopher Thomas was registered through Securian Financial Services, Inc., January 2001 to February 2010.
Where is Christopher Thomas based?
Christopher Thomas’ registered office is in San Jose, CA.
Is Christopher Thomas registered with FINRA?
No. Christopher Thomas has no current broker registration.
Is Christopher Thomas a CFP?
Align Wealth Management lists Christopher Thomas with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Christopher Thomas’ record?
Search CRD 4306408 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Christopher Thomas’ full registration record.